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Results: 11-20 of 34

FSA publishes annual report

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 24 2011

The UK Financial Services Authority (FSA) has published its Annual Report for 201011, outlining its performance against the priorities set out in its 201011 Business Plan and its statutory objectives

FINRA clarifies obligations and supervisory responsibilities for functions outsourced to third-party service providers

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 1 2011

The Financial Industry Regulatory Authority is requesting comment on a proposed new rule clarifying the scope of a member firm's obligations and supervisory responsibilities for functions or activities outsourced to a third-party service provider

EC publishes financial services legislative agenda

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 4 2011

On February 25, the European Commission published an updated agenda and timetable for financial services legislative proposals including the following Securities Law Directive, expected to be adopted in May 2011Recast Market Abuse Directive (20036EC) and its three implementing directives, expected to be adopted in June 2011Review of the Markets in Financial Instruments Directive (200439EC) (commonly known as MiFID II), expected to be adopted in June 2011Amendments to the Capital Requirements Directive (200648EC and 200649EC) (CRD), expected to be adopted in June 2011

FSA announces new policy on mobile phone taping

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 19 2010

On November 11, the UK Financial Services Authority (FSA) published its Policy Statement 1017 (feedback on its "taping of mobile phones" consultation and final rules

Fdic board proposes implementation of Dodd-Frank assessment changes and revised assessment system for large institutions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 12 2010

On November 9, the Federal Deposit Insurance Corporation approved two proposed rules that would amend the deposit insurance assessment regulations

Financial services regulatory reform legislation moves forward

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 27 2010

Financial services regulatory reform, in particular, the regulation of the over-the-counter derivatives markets and market participants, took a major step forward late last week when the Senate passed the Restoring American Financial Stability Act of 2010

FDIC proposes change to deposit insurance assessment system

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 30 2010

On April 13, the Federal Deposit Insurance Corporation (FDIC) issued a proposal that would change the calculation of deposit insurance assessments for "large" or "highly complex" institutions

Federal regulators release model consumer privacy notice Online Form Builder

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 16 2010

Eight federal regulators have released an Online Form Builder that financial institutions can download and use to develop and print customized versions of a model consumer privacy notice under the Gramm-Leach-Bliley Act (GLBA

Financial Services Act 2010 passed

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 16 2010

The Financial Services Act 2010 received Royal Assent on April 8

FINRA to amend arbitration rules regarding deficient claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 26 2010

The Financial Industry Regulatory Authority has amended its Codes of Arbitration Procedure for Customer and Industry Disputes to clarify that if a claim deficiency is corrected within 30 days from the time a party receives notice of a deficiency, the claim will be considered filed on the date the initial statement of claim was filed