Mondaq USA: Finance and Banking
Akin Gump Strauss Hauer & Feld LLP
By January 31, 2021, all swap associated persons of registered CPOs and CTAs must take and pass the NFA's new swaps proficiency requirements.
Morrison & Foerster LLP
On March 4, 2019, the Consumer Financial Protection Bureau (CFPB) issued an advance notice of proposed rulemaking (ANPR) on residential property assessed clean energy financing (PACE financing).
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo highlighted the ways in which the agency is crafting a "modern regulatory approach" to rapidly changing markets and technological developments, including
Mayer Brown
On March 4, 2019, the Consumer Finance Protection Bureau ("CFPB" or "Bureau") issued an Advance Notice of Proposed Rulemaking seeking comments related to Property Assessed Clean Energy ("PACE")
Morrison & Foerster LLP
The FDIC announced a "comprehensive review [of its] regulatory approach to brokered deposits and interest rate caps" for banks that are not "well-capitalized" with the release of an APNR.
Cadwalader, Wickersham & Taft LLP
The Consumer Financial Protection Bureau ("CFPB") provided technical specifications to help prepaid account issuers submit their prepaid account agreements online.
Cadwalader, Wickersham & Taft LLP
In an advance notice of proposed rulemaking, the FRB solicited feedback on whether to amend Regulation D to lower the rate of interest paid on excessive balances maintained at FRB banks by eligible institutions.
Cadwalader, Wickersham & Taft LLP
The NFA modified proposed amendments to Compliance Rules and Interpretive Notices to cover transactions and counterparties relating to swaps, as well as other commodity interests (e.g., futures).
Cadwalader, Wickersham & Taft LLP
The Federal Reserve Board ("FRB") amended the "capital plan rule" to limit the scope of potential objections to a firm's capital plan on the basis of "qualitative deficiencies in the firm's capital planning process."
Cadwalader, Wickersham & Taft LLP
CFTC Division of Enforcement Director James McDonald pledged to enforce CEA provisions that encompass foreign corrupt practices and issued an Enforcement Advisory on cooperation and self-reporting for violations of...
Cadwalader, Wickersham & Taft LLP
The NFA proposed (i) amendments to NFA Bylaw 301 and NFA Compliance Rule 2-24, and (ii) an Interpretive Notice relating to proficiency requirements for individuals engaged in swaps activities.
Mayer Brown
Global REIT IPOs decreased dramatically – down 47 percent – from 49 REIT IPOs in 2017 to 26 REIT IPOs in 2018.
Schnader Harrison Segal & Lewis LLP
The purchase and sale of debt was not a common practice at the time Congress enacted the Fair Debt Collection Practices Act ("FDCPA") and the Third Circuit has observed that that ...
Jones Day
Thus, the statute of limitations began to run in 2008 and expired several years before the plaintiff filed her claims.
Cadwalader, Wickersham & Taft LLP
A financial services firm agreed to settle FINRA charges for Regulation SHO (i.e., short sale rule) violations.
Cadwalader, Wickersham & Taft LLP
An SEC-registered broker-dealer and FINRA member agreed to settle FINRA charges for failing to properly or timely submit 366,428 Reportable Order Events ...
Cadwalader, Wickersham & Taft LLP
The Basel Committee on Banking Supervision and IOSCO ("BCBS-IOSCO") issued a statement on the implementation of derivatives margin requirements ...
Foley & Lardner
A recent decision in Conover v. Patriot Land Transfer LLC[1] involves what appears to be a run-of-the-mill Section 8 RESPA claim that a title agency supplied borrower leads and data lists in return
Ward and Smith, P.A.
Interest in Qualified Opportunity Zones ("QOZs") has increased since October 29, 2018, when the Department of the Treasury and the Internal Revenue Service ...
Lowndes, Drosdick, Doster, Kantor & Reed, P.A.
Qualified Opportunity Zones are a hot topic in the tax and business world, and are an opportunity that span into almost any business market.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code ง199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Orrick
For example, the undercover detective allegedly told Espinoza that he needed the Bitcoin to buy stolen credit card numbers from Russians.
Mayer Brown
RegTech may be particularly helpful as FINRA members begin to engage in electronic structured products trading platforms.
Fenwick & West LLP
Released on November 30, 2018, the foreign tax credit proposed regulations provide a comprehensive new framework for calculating the foreign tax credit in light of several changes made by the Tax Cuts
BakerHostetler
In news that no Blockchain Monitor reader wants to hear, technical analysts are sounding the alarm bell on bitcoin
Klein Moynihan Turco LLP
Last week, the Federal Trade Commission ("FTC") announced that it will be mailing over $6 million dollars in checks to consumers who purchased certain health-related products and services.
Kramer Levin Naftalis & Frankel LLP
Upon exit day, the various obligations of EU counterparties regarding derivatives transactions under EMIR will no longer apply to UK entities.
Jones Day
The paper provides guidance on bringing the benefits of distributed ledger technology to the ISDA documentation architecture.
Shearman & Sterling LLP
On 17 December 2018, the European Commission published a final draft text of its delegated regulation with regard to regulatory technical standards on the specification of a single reporting format.
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