Financial Institutions Banking

Published between:
Published Title Organization
Sep
30
2016
 CFTC Issues Fourth Penalty for Inaccurate Large Trader Reporting of Swaps Cadwalader, Wickersham & Taft LLP
Sep
30
2016
 SEC Adopts Rules for Enhanced Regulatory Framework for Securities Clearing Agencies Katten
Sep
30
2016
 Beyond Bitcoin: Barriers to Use of Distributed Ledger Technology (Part 2) Morgan, Lewis & Bockius LLP
Sep
29
2016
 Community Bank Regulatory Environment Post Wells Fargo Bracewell LLP
Sep
29
2016
 The Federal Reserve’s Proposed Rollback of Physical Commodities Authority for Financial Holding Companies Cadwalader, Wickersham & Taft LLP
Sep
28
2016
 Retirement Plan Documentation and Prudent Recommendation: Interesting Angles on the DOL’s Fiduciary Rule #21 Faegre Drinker
Sep
28
2016
 Credit Card Transactions: To Surcharge or Not to Surcharge? That is the Question for SCOTUS IMS Legal Strategies
Sep
27
2016
 Unitranche Financing – is it for you? Murtha Cullina
Sep
26
2016
 SEC Adopts New Disclosure and Recordkeeping Requirements for Advisers Vedder Price
Sep
26
2016
 FINRA Fines UBS Financial Services for Failing to Provide Fund Sales Charge Waivers for Eligible Customers Vedder Price
Sep
26
2016
 New York Federal Judge Rules ”Bitcoins” Qualify as Money: “It’s Virtually Money!” Squire Patton Boggs (US) LLP
Sep
26
2016
 SEC Settles with Thirteen Investment Advisers for Negligent Reliance on False Performance Claim Vedder Price
Sep
26
2016
 Federal Court Issues Opinion Following Trial in AXA Section 36(b) Excessive Fee Case Vedder Price
Sep
26
2016
 Supervision; Block Trades; EFRPs; Independence; Tag 50s; Insider Trading - Bridging the Week: September 19 to 23 and September 26, 2016 [VIDEO] Katten
Sep
26
2016
 California Legislature (Re)Enacts A Maximum De Minimis Finance Lenders Law Exemption Allen Matkins Leck Gamble Mallory & Natsis LLP
Sep
25
2016
 European Commission Calls for Reforms Under the EU Capital Markets Union to be Accelerated Katten
Sep
24
2016
 OCC Lays Groundwork for National Fintech Charters Greenberg Traurig, LLP
Sep
24
2016
 UK FCA Publishes New Notification Form for Transaction Reporting Errors Katten
Sep
23
2016
 Think A Class Is Certified? Not So Fast…. Second Circuit Affirms Decertification of Class Even After Jury Verdict, Overturning Jury Award Jackson Lewis P.C.
Sep
23
2016
 ESMA Publishes Discussion Paper on Mandatory Trade Execution Obligations for OTC Derivatives Under MiFIR Katten
Sep
23
2016
 Brexit and Passporting: FCA Statistics Katten
Sep
23
2016
 Recent Studies Show Increasing Need For Employee Training in Data Security Polsinelli PC
Sep
23
2016
 CFTC To Host Roundtable on Recent CPMI-IOSCO Guidance Katten
Sep
22
2016
 European Central Bank Launches Public Consultation on Guidance to Banks on Non-Performing Loans Squire Patton Boggs (US) LLP
Sep
21
2016
 SEC Approves FINRA Pay-to-Play Rules: Investment Adviser Third-Party Solicitor Pay-to-Play Rule to Finally Go Effective Faegre Drinker
Sep
21
2016
 The DOL Fiduciary Duty Rule: Impact on Cash Solicitors for Advisory Firms Greenberg Traurig, LLP
Sep
21
2016
 New York State Department of Financial Services Proposes Cybersecurity Regulations for Financial Services Companies Sheppard, Mullin, Richter & Hampton LLP
Sep
20
2016
 NFA Proposes to Require CTAs and CPOs to Report their Net Worth and Profitability Faegre Drinker
Sep
20
2016
 New York Department of Financial Services (NYDFS): “First-In-The-Nation” Cybersecurity Proposal Morgan, Lewis & Bockius LLP
Sep
20
2016
 Three Parts of "Best Interest Standard of Care": Interesting Angles on the DOL’s Fiduciary Rule #20 Faegre Drinker
Sep
20
2016
 TIMBER! – Liability for damage to private property caused from a fallen tree? Murtha Cullina
Sep
20
2016
 MasterCard faces one of the UK’s first class-action lawsuits Squire Patton Boggs (US) LLP
Sep
19
2016
 New York Proposes Required Cybersecurity Programs for Financial Institutions Wilson Elser Moskowitz Edelman & Dicker LLP
Sep
19
2016
 New York Proposes First-Ever Cybersecurity Regulation for Financial Institutions Mintz
Sep
19
2016
 Terrorism Financing, Consumer Protection in Spotlight; Various Financial Services Regulators to Meet Squire Patton Boggs (US) LLP
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