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Results: 1-10 of 65

International regulatory update 7 - 11 January 2013

  • Clifford Chance LLP
  • -
  • European Union, France, Global, India, Poland, Singapore, United Kingdom, USA
  • -
  • January 14 2013

EMIR: Extension of scrutiny period for Commission Delegated Regulations Basel III: Basel Committee releases revised version of Liquidity Coverage

International regulatory update 10-14 December 2012

  • Clifford Chance LLP
  • -
  • European Union, Germany, Hong Kong, Italy, Spain, United Kingdom, USA
  • -
  • December 17 2012

The European Council (Heads of State or Government) has published the conclusions from its meeting on 13 and 14 December 2012, at which it agreed on a roadmap for the completion of the Economic and Monetary Union

Financial services report, fall 2012

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • October 4 2012

The Mars rover "Curiosity" stuck a perfect landing this quarter

JOBS Act offers benefits to small banks, businesses

  • Dinsmore & Shohl LLP
  • -
  • USA
  • -
  • July 10 2012

Ask any banker, and he will tell you, “It’s hard to say, ‘I’m sorry."

Tune up your credit counseling agency’s compliance system

  • Venable LLP
  • -
  • USA
  • -
  • July 9 2012

Credit counseling agencies operate in a dynamic environment influenced by challenges to profitability and survival, increased focus on outcomes to consumers, industry consolidation, advancing technology, and changes in laws and regulations

Effective compliance program helps investment bank avoid FCPA criminal charges

  • Baker & McKenzie
  • -
  • USA
  • -
  • May 14 2012

When a former Morgan Stanley Managing Director pled guilty recently to a criminal violation of the U.S. Foreign Corrupt Practices Act ("FCPA"), the effectiveness of the bank's pre-existing anti-corruption compliance program convinced enforcers at the U.S. Department of Justice ("DOJ") and Securities and Exchange Commission ("SEC") not to charge the bank itself

Credit ratings: S&P considering making governance a factor

  • Kelley Drye & Warren LLP
  • -
  • USA
  • -
  • April 17 2012

On March 12, Standards & Poor’s posted a request for comment as it proposes to score companies as “StrongFairAdequateWeak” in the area of management & governance in an effort to enhance transparency

SEC offers JOBS Act guidance on changes to Exchange Act registration and deregistration

  • Ballard Spahr LLP
  • -
  • USA
  • -
  • April 13 2012

On April 11, 2012, the Securities and Exchange Commission published a second set of Frequently Asked Questions, or FAQs, providing guidance on the implementation and application of the JOBS Act (Jumpstart Our Business Startups Act

What’s fair is fair for bank holding companies: using fairness hearings in mergers to avoid SEC registration

  • Manatt Phelps & Phillips LLP
  • -
  • USA
  • -
  • April 10 2012

Following President Obama’s signing of the “Jumpstart Our Business Startups Act” (the “JOBS Act”) last week, private bank holding companies (“BHCs”) can now avoid registration under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), so long as they have less than two thousand (2,000) shareholders of record at the end of any fiscal year

Financial services legislative and regulatory update March 26, 2012

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • USA
  • -
  • March 26 2012

The past week was an incredibly busy one here in Washington, DC

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