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Senior fed officials encourage financial industry firms to improve compliance culture

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

Enhancing culture was the theme at a workshop on "Reforming Culture and Behavior in the Financial Services Industry" held at the Federal Reserve Bank

Federal Reserve Inspector General finds deficiencies in regulatory oversight of London Whale risks

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2014

The Office of Inspector General of the Federal Reserve System identified various supervisory breakdowns at the Federal Reserve Bank of New York that

CFTC hears testimony on Bitcoin

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

The Global Markets Advisory Committee of the Commodity Futures Trading Commission held a public meeting on October 9, in which one panel addressed

Bank of America agrees to US $7.65 million SEC fine to settle charges for misstatement of regulatory capital

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 5 2014

The Securities and Exchange Commission brought an administrative action against Bank of America Corporation for misstating the amount of its

Barclays entities settle with UK FCA over client money rule breaches and with US SEC for investment advisor compliance issues

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom, USA
  • -
  • September 28 2014

Two Barclays entities on different sides of the Atlantic Ocean settled regulatory matters resulting in sanctions of over US $75 million. In one

Court permits customer and IB claims to proceed against U.S. Bank over Peregrine collapse

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 28 2014

A US federal court in Illinois authorized two lawsuits arising from the collapse of Peregrine Financial Group to proceed against U.S. Bank, N.A

House passes bill H.R. 5405 “Promoting Job Creation and Reducing Small Business Burdens Act”

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 26 2014

On September 16, the House of Representatives passed H.R. 5405 "Promoting Job Creation and Reducing Small Business Burdens Act." The bill addresses a

SEC updates Volker Rule FAQs; first CEO attestation due by no later than March 31, 2016

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 14 2014

The Securities and Exchange Commission has updated its frequently asked questions regarding the Volcker Rule. In its latest amendment to the FAQs

FINRA changes ways to process and approve subordination agreements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 14 2014

FINRA announced it had created a new central unit to process and approve all subordination agreements. The new process will be phased in over three

CFTC and SEC chairs testify before Senate Banking Committee on Dodd-Frank progress

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 14 2014

Six senior regulators of US agencies appeared before the US Senate Committee on Banking, Housing, and Urban Affairs to provide their insights on the