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Searching Content from United States indexed under Financial Services ordered by Published Date Descending.
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1
Abusiveness Isn't Dead Yet
Many thought that with former Director Richard Cordray's resignation, the Consumer Financial Protection Bureau (CFPB) would stop using its abusiveness authority in enforcement actions.
United States
16 Sep 2019
2
OFAC Codifies Nicaragua List-Based Sanctions
On September 3, 2019, the Department of the Treasury's Office of Foreign Assets Control (OFAC) issued the Nicaragua Sanctions Regulations as 31 CFR Part 582.
United States
16 Sep 2019
3
Senate Banking Committee Holds Hearing On Trump Administration's Housing Finance Reform Plans
The Senate Banking Committee held a hearing on September 10 on the Trump administration's housing finance reform plans.
United States
13 Sep 2019
4
ISDA Pre-Cessation Trigger Consultation On LIBOR Renders Inconclusive Verdict
The International Swaps and Derivatives Association ("ISDA") is in the midst of consulting the market on a wide variety of issues to develop "triggers" and "fallbacks"
United States
13 Sep 2019
5
Actualité juridique : juillet – août 2019
La loi n° 2018-727 du 10 juillet 2018 a prévu des ordonnances pour réformer le régime du taux effectif global, dont l'une pour les sanctions civiles.
United States
13 Sep 2019
6
For The Second Time, Federal Court Dismisses Lawsuit Challenging Proposed OCC Fintech Charter
On Tuesday (September 3, 2019), the U.S. District Court for the District of Columbia issued an order dismissing a lawsuit filed by the Conference of State Bank Supervisors
United States
13 Sep 2019
7
Volcker Rule Revisions: Implications For Structured Finance
The revisions defer further action on the covered fund issues most relevant to securitizations and CLOs to a later rulemaking.
United States
13 Sep 2019
8
Federal Judge Orders CFTC Commissioners To Testify About Public Statements Following The Issuance Of A Consent Order In CFTC v. Kraft
The Wall Street Journal recently quoted Mayer Brown Partner Matthew F. Kluchenek regarding a federal judge's demand that the new chairman and two commissioners of the Commodity Futures Trading Commission
United States
13 Sep 2019
9
Crowdfunding Comes To Commercial Real Estate
Since 2012, more than 100 portals focused on CRE investments have launched and various investment models have emerged.
United States
13 Sep 2019
10
Growing Sales Using The Right Cloud ERP And Inventory Management Solutions: A Young Nails And NetSuite Case Study
A shift in model meant a greater need for inventory discernment and an entirely new e-commerce solution.
United States
13 Sep 2019
11
CFTC Grants No-Action Relief to CPO from Registration Requirements
The CFTC Division of Swap Dealer and Intermediary Oversight granted a CPO no-action relief from the requirement to register as a CPO
United States
13 Sep 2019
12
FCM Settles CFTC Charges For Providing Insufficient Audit Trail Data
A registered futures commission merchant settled CFTC charges for failing to provide sufficient audit trail data, which "substantially delayed" a CFTC Division of Enforcement ("Division")
United States
13 Sep 2019
13
Former CCO Settles FINRA Charges For Failure To Update Information Within Required Time Period
A former Chief Compliance Officer/General Securities Principal ("CCO/GSP") settled FINRA charges for failing to (i) update employee forms concerning reportable events within 30 days of discovery
United States
13 Sep 2019
14
Funding A Buy-Sell Agreement With Life Insurance
As a partner or co-owner (private shareholder) of a business, you've spent years building a valuable financial interest in your company.
United States
12 Sep 2019
15
Dodd-Frank 2.0: U.S. Agencies Revise The Volcker Rule On Proprietary Trading
Since it was enacted in July 2010, the Dodd-Frank Act's Volcker Rule has challenged banks and their regulators alike. This is particularly the case with respect to its restrictions
United States
12 Sep 2019
16
Associated Person Settles CFTC And CME Charges For Unauthorized Trading, Violating Position Limits
The associated person of an introducing broker agreed to settle CFTC and CME charges (see here and here, respectively) for fraudulent solicitation
United States
12 Sep 2019
17
Representative Sanctioned For Unsuitable Recommendation Of Complex Financial Product
A general securities representative settled FINRA charges for advising customers to purchase Leveraged and Inverse Exchange Traded Funds ("LIETFs")
United States
12 Sep 2019
18
NY DFS Doubles Down On FinTech, Consumer Protection, And Cryptocurrency Regulation
The New York State Department of Financial Services creates a new FinTech Division.
United States
12 Sep 2019
19
SEC Issues Guidance On Investment Advisers' Proxy Voting Responsibilities
The Securities and Exchange Commission (SEC) recently issued guidance clarifying the proxy voting responsibilities of investment advisers (IA Proxy Release).
United States
12 Sep 2019
20
United States
12 Sep 2019
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