Financial Institutions Banking

Published between:
Published Title Organization
Jan
9
2016
 PCAOB Adopts New Rules Requiring Disclosure of Participants in Audit Katten
Jan
8
2016
 In New World of Final Allocation and Accounting Regulations, What Is Left of “Final Allocations”? Squire Patton Boggs (US) LLP
Jan
8
2016
 FINRA’s 2016 Regulatory and Examination Priorities Katten
Jan
8
2016
 FINRA’s 2016 Examination Priorities Identifies New Initiatives on Market Integrity and Firm Culture and Further Concern on Supervision and Controls Proskauer Rose LLP
Jan
8
2016
 Research Note: Equity Market Volatility on August 24, 2015 Katten
Jan
8
2016
 SEC Division of Corporation Finance Issues Four Additional C&DIs on FAST Act Katten
Jan
8
2016
 Congress Provides Swap Clearing and Margin Exemption for Central Treasury Units Katten
Jan
8
2016
 CFTC Requests Comment on Draft Technical Specifications for Swap Data Katten
Jan
8
2016
 OFAC Publishes Cyber-Related Sanctions Regulations Cadwalader, Wickersham & Taft LLP
Jan
8
2016
 CFTC Amends Recordkeeping Rules Katten
Jan
8
2016
 CFTC Proposes Alternative to Fingerprinting Requirement for Foreign Individuals Katten
Jan
8
2016
 CFTC Provides Relief to SEFs From Audit Trail Requirements Related to Post-Trade Allocation Information Katten
Jan
8
2016
 FINRA Set to Emphasize ‘Firm Culture’ and Ethics as Exam Priorities in 2016 Greenberg Traurig, LLP
Jan
8
2016
 Federal Bank Regulatory Agencies Release CRA Asset-Size Thresholds for Small and Intermediate Small Institutions Katten
Jan
8
2016
 NFA Revises SD and MSP 4s Review Process Katten
Jan
8
2016
 CFTC Adopts Margin Rules for Uncleared Swaps ArentFox Schiff LLP
Jan
8
2016
 PSC Register––Draft Guidance on the Meaning of “Significant Influence or Control” for UK Companies and LLPs Katten
Jan
8
2016
 European Union Single Resolution Mechanism is Operational Katten
Jan
8
2016
 Glass Lewis Opens Registration for Issuer Data Report Requests, Including Expanding Access to Certain Companies in Canada and Europe Cadwalader, Wickersham & Taft LLP
Jan
8
2016
 Year of Fiduciary Rule Faegre Drinker
Jan
7
2016
 OFAC Continues to Reveal Hizballah’s Global Reach Holland & Hart LLP
Jan
7
2016
 Patterns Emerge in CFPB Enforcement Morgan, Lewis & Bockius LLP
Jan
7
2016
 Potential Revisions to the Definition of “Accredited Investor” Sheppard, Mullin, Richter & Hampton LLP
Jan
6
2016
 FINRA’s Focus in 2016: What’s In, What’s Out Morgan, Lewis & Bockius LLP
Jan
6
2016
 Argentina Lifts Currency Exchange, Exports, and Imports Restrictions Sheppard, Mullin, Richter & Hampton LLP
Jan
5
2016
 ISS Defines Acceptable Parameters for Proxy Access Provisions McDermott Will & Schulte LLP
Jan
5
2016
 Bridging the Week: December 21 – 31, 2015, and January 4, 2016 (MF Global; Blue Sheets; New Product Blues; Tag 50s; The Big Short) Katten
Jan
5
2016
 What SEC Doesn’t Understand About Blue Sky Laws Allen Matkins Leck Gamble Mallory & Natsis LLP
Jan
4
2016
 Monthly China Anti-Bribery Update Report — December 2015 Squire Patton Boggs (US) LLP
Jan
4
2016
 Hitachi Settlements Highlight Importance of Anticorruption Compliance Programs and Cooperation With Regulators Greenberg Traurig, LLP
Jan
4
2016
 Connecticut Court Clarifies SOX Whistleblower Pleading Standard Proskauer Rose LLP
Jan
4
2016
 Hong Kong Regulatory Bulletin - December 2015 Cadwalader, Wickersham & Taft LLP
Jan
3
2016
 CFTC Adopts Margin Requirements for Uncleared Swaps Cadwalader, Wickersham & Taft LLP
Jan
3
2016
 Japan Trade Alert Cadwalader, Wickersham & Taft LLP
Jan
3
2016
 Contractual Recognition of Bail-In – Are You Ready? - EU Bank Recovery and Resolution Directive Cadwalader, Wickersham & Taft LLP
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