Financial Institutions Banking

Published between:
Published Title Organization
Jul
15
2016
 Dutch Foundation Dismissed for Inadequate Safeguarding of Members’ Interests Mintz
Jul
14
2016
 Potential Prohibited Transactions: Interesting Angles on the DOL’s Fiduciary Rule #12 Faegre Drinker
Jul
14
2016
 The Department of Labor’s 2016 Final Fiduciary and Conflict of Interest Regulations: Amendments to Prohibited Transaction Exemption 84-24 for Transactions Involving Insurance Agents and Brokers (and Others) Mintz
Jul
14
2016
 Collateral 101: Perfecting Security Interests in Common and Uncommon Collateral Murtha Cullina
Jul
14
2016
 Elizabeth Warren’s Latest Proposal Is Unfailingly Tough on Banks Morgan, Lewis & Bockius LLP
Jul
13
2016
 ICE Futures, NYMEX, COMEX: U.S. Futures Exchanges Disciplinary Actions Report - June 2016 Bracewell LLP
Jul
13
2016
 How Much Does Your Banker Make? Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
12
2016
 Financial Stability Oversight Council Report Targets Marketplace Lending and FinTECH Greenberg Traurig, LLP
Jul
12
2016
 Recent Supreme Court Action Creates Uncertainty in Financial Industry: Madden v. Midland Funding Polsinelli PC
Jul
12
2016
 The Tokyo Stock Exchange: Gateway to the Asian Market Greenberg Traurig, LLP
Jul
11
2016
 Bridging the Weeks: Spoofing; Business Continuity; Blue Sheets; Large Trader Reporting; Transaction Monitoring; Reg AT - June 27 to July 8 and July 11, 2016 Katten
Jul
11
2016
 CFTC Issues $560,000 Penalty for Inaccurate Large Trader Reporting of Swaps Cadwalader, Wickersham & Taft LLP
Jul
11
2016
 SEC Approves Consolidated FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions) Katten
Jul
11
2016
 SEC Division of Corporation Finance Issues C&DIs on Application of Rule 701 Katten
Jul
11
2016
 European Commission Adopts MiFIR Delegated Regulations Katten
Jul
11
2016
 FINRA Suitability of Broker-Dealer Recommendations And Litotes Allen Matkins Leck Gamble Mallory & Natsis LLP
Jul
11
2016
 SEC Approves NASDAQ’s ‘Golden Leash’ Disclosure Rule Katten
Jul
11
2016
 Financial Services Reform Efforts Slow Moving, as Lawmakers Turn to Fight on Terrorism Financing; SEC to Hold Open Meetings Squire Patton Boggs (US) LLP
Jul
11
2016
 UK Publishes MAR Regulations Ahead of July 3 Deadline Katten
Jul
10
2016
 Regulation Extending Commodity Dealer Exemptions From the EU Capital Requirements Regulation Published in the European Union’s Official Journal Katten
Jul
9
2016
 ACER Revises Guidance on the Application of REMIT Katten
Jul
9
2016
 European Commission Adopts MiFIR Delegated Regulation on Straight-Through Processing Katten
Jul
8
2016
 Lehman Brothers Court Holds Swap Safe Harbor Protects ‘Flip’ Transactions Katten
Jul
8
2016
 CFTC Issues Advisory Regarding Suspicious Activity Reporting and Economic Sanctions Programs Katten
Jul
8
2016
 UK High Court Backs Bank on Whether Hedging is Gambling Squire Patton Boggs (US) LLP
Jul
7
2016
 No Surprise: Federal Reserve Board Formally Extends Volcker Rule Conformance Period for Covered Private Funds Morgan, Lewis & Bockius LLP
Jul
7
2016
 Financial Stability Oversight Council Releases 2016 Annual Report Greenberg Traurig, LLP
Jul
7
2016
 NASD Rule 1032(f): New FINRA Proposed Rule Faegre Drinker
Jul
7
2016
 New York Boosts Bank Secrecy Act and Anti-Money Laundering Stakes: Will Other State and Federal Regulators Follow? Dinsmore & Shohl LLP
Jul
7
2016
 Financial Institutions BSA/AML: The More Things Stay the Same, the More They Change Bracewell LLP
Jul
7
2016
 Office of Comptroller of Currency Applying New Standards in Assessing Civil Money Penalties Dinsmore & Shohl LLP
Jul
7
2016
 No Exit Post-Brexit From Property Funds: What Pension Funds Need to Know About ‘Gates’ Squire Patton Boggs (US) LLP
Jul
6
2016
 Cyber Resilience Guidance for Financial Market Infrastructures Morgan, Lewis & Bockius LLP
Jul
6
2016
 Super Priority Municipal Liens: When Is Your First Mortgage Not First In Line? Murtha Cullina
Jul
6
2016
 Financial Regulatory Violations May Now Come with Significantly Higher Penalties Morgan, Lewis & Bockius LLP
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