Mondaq USA: Finance and Banking
Proskauer Rose LLP
Financial services firms, like other businesses, must address employees' requests for more flexible work arrangements, including working from home.
Cadwalader, Wickersham & Taft LLP
The Cabinet offers a collection of pages on regulatory requirements applicable to investment advisers and investment funds. The pages cover a wide range of advisers
Cadwalader, Wickersham & Taft LLP
The FDIC proposed amending the interest rate restrictions for insured depository institutions ("IDIs") that are less than "well capitalized" (i.e., any IDI that does not significantly exceed
Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency ("OCC") and the FDIC approved an interagency final rule simplifying certain aspects of existing regulations
Foley Hoag LLP
On August 14, 2019, the U.S. Small Business Administration ("SBA") announced that it will charge a new fee on draws of committed SBA leverage made on and after October 1, 2019.
Cadwalader, Wickersham & Taft LLP
The Volcker Rule Topic Page helps financial institutions keep current on legal and regulatory issues concerning the Volcker Rule
Cadwalader, Wickersham & Taft LLP
In its August disciplinary report, FINRA recapped actions against member firms and individuals for violations of FINRA rules, MSRB rules, and federal securities
Smith Gambrell & Russell LLP
Heung C. Rha and Suhn O. Rha agreed to purchase the property located at 16-17 Bell Blvd., Bayside, New York from Alessio Blangiardo pursuant to a contract signed on October 23, 2014.
Cleary Gottlieb Steen & Hamilton LLP
On August 20, 2019, the Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency approved a Final Rule adopting key changes to the proprietary trading
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
As recently noted, Saba Capital Management, L.P. (Saba) has begun to escalate its attacks on the closed-end fund asset class, at the expense of retail fund shareholders
Cadwalader, Wickersham & Taft LLP
FINRA elected four new governors to the agency's Board of Governors. The new governors begin their three-year terms effective immediately.
Cadwalader, Wickersham & Taft LLP
The CFPB and the State of Arkansas proposed a settlement in the United States District Court, Eastern District of Arkansas, against brokers for violations of the Consumer Financial
Cadwalader, Wickersham & Taft LLP
Two broker-dealers settled separate SEC charges (see here and here) for improperly obtaining the pre-release of American Depositary Receipts ("ADRs") that the firms should
Orrick
On August 9, the U.S. Department of Housing and Urban Development announced that the Federal Housing Administration will insure mortgages on mixed-used developments under the FHA's Section 220 Program ...
Stroock & Stroock & Lavan LLP
How the Latest QOZ Proposals Affect Qualified Opportunity Zone Businesses.
WilmerHale
If your business carries debt, the interest rate on that debt is likely to be linked to the London Interbank Offered Rate (LIBOR).
Cadwalader, Wickersham & Taft LLP
The New York State Department of Financial Services ("NYDFS") approved the application of a trust company to act as a custodian for Bitcoin.
Mayer Brown
Buying and selling receivables, the obligor of which is the United States government, requires consideration of the Federal Assignment of Claims Act ("FACA").
Orrick
The SEC Investment Management Division published a no-action letter on August 15 addressed to Redwood Trust that provides a certain degree of Section 3(c)(5)(C) compliance leeway for mortgage REITs and mortgage bankers.
Orrick
On August 8, the SEC announced that it has voted to propose rule amendments to modernize and simplify certain disclosures required pursuant to Regulation S-K since the regulation was first adopted over 30 years ago.
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Shearman & Sterling LLP
On 29 March 2019, ESMA updated its Q&A documents in relation to the implementation of the Market Abuse Regulation (MAR) and the Alternative Investment Fund Manager Directive (AIFMD).
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Mayer Brown
Last month, the United States Department of Justice ("DOJ" or the "Department") settled redlining claims against First Merchants Bank, an Indiana-based bank regulated by the Federal Deposit Insurance Corporation.
Cadwalader, Wickersham & Taft LLP
In a 2019 FDIC Risk Review, the agency highlighted credit and market risk as key threats to the banking industry.
DLA Piper
This regular publication from DLA Piper focuses on helping banking and financial services clients navigate the ever-changing federal regulatory landscape.
Cadwalader, Wickersham & Taft LLP
Over the past year, State Attorneys General have stepped into what they describe as a void of antitrust enforcement at the federal level
Proskauer Rose LLP
In early August 2019, the Luxembourg regulator, the Commission de Surveillance du Secteur Financier (the "CSSF"), confirmed in a press release that it had opened an online portal to allow UK firms currently using a financial...
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