SEC Adopts Exchange Act Rules 3a5-4 and 3a44-2 – Dealer Registration Requirements
Published:
Expertise Area:
Risk Management & Compliance
CFTC Seeks Comments on AI Usage and Risks in Derivatives Markets
Published:
Expertise Area:
Strategy & Advisory
OCC Proposes New Guidelines for Bank Mergers
Published:
Expertise Area:
Litigation Support & Enforcement, Strategy & Advisory
SEC Security-Based Swap Dealer Exam Observations Focus on Trade Reporting and Other Areas
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Expertise Area:
Risk Management & Compliance
OCC Releases Fall Semiannual Risk Perspective
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Expertise Area:
Risk Management & Compliance, Strategy & Advisory
Important Clarifications for Online Platform Operators that Offer Deposit Accounts along with Other Financial Products
Published:
Expertise Area:
Risk Management & Compliance
CFPB Regulatory Agenda Points to Activity to Come in 2024
Published:
Expertise Area:
Strategy & Advisory
Digital Assets, Market Integrity, and Market Transparency Highlight the CFTC’s Enforcement Focus from FY2023
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Expertise Area:
Risk Management & Compliance
U.S. District Court Rules CFPB’s UDAAP Exam Manual Updates Exceed the CFPB’s Authority
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Expertise Area:
The Regulatory Pile-on for Regional Banks Deepens: Federal Banking Regulators Propose New Long-Term Debt Rule
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Expertise Area:
Risk Management & Compliance
Understanding CFPB Funding and Expenditures, FY 2010 – 2022
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Expertise Area:
Litigation Support & Enforcement
SEC Adopts New Cybersecurity Disclosure Requirements for Public Companies
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Expertise Area:
Risk Management & Compliance
President Biden’s Outbound Investment Executive Order: The Scope of New Investment Prohibition and Notification Requirements Remains Far from Certain
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Expertise Area:
Strategy & Advisory
FINRA Seeks Comment on its Proposed Liquidity Risk Management Rule
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Expertise Area:
Risk Management & Compliance, Strategy & Advisory
First Look of the Basel III Endgame Rule Proposal
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Expertise Area:
Risk Management & Compliance
Federal Reserve’s Instant Payment Service Has Arrived
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Expertise Area:
Strategy & Advisory
SEC Set to Finalize Rules on Outsourcing by Registered Investment Advisers and Potentially Move Further Into Internet-Based RIA Ecosystem
Published:
Expertise Area:
Risk Management & Compliance, Strategy & Advisory
OCC Releases Guidance on Cybersecurity Supervision
Published:
Expertise Area:
Risk Management & Compliance
Firms Need to Weigh in on CFTC Notice of Proposed Rulemaking for Risk Management Requirements
Published:
Expertise Area:
Risk Management & Compliance