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Results: 1-10 of 19

FCA publishes supervisory approach to financial promotions in social media

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 22 2014

On August 6, the UK Financial Conduct Authority (FCA) published its guidance consultation on social media and customer communications (Guidance

Federal financial regulators extend comment period for proposed policy statement on assessing diversity policies and practices of regulated entities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 20 2013

On December 19, six federal financial regulatory agencies announced that they are extending the comment period for their proposed policy statement

FFIEC implements new infobase technology for the information technology examination handbook

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 25 2012

The Federal Financial Institutions Examination Council (FFIEC) recently upgraded the functions and features of the InfoBase for the FFIEC Information Technology Examination Handbook (IT Handbook

FDIC issues proposal regarding enforceability of contracts for systemically important financial institutions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 23 2012

On March 20, the Federal Deposit Insurance Corporation (FDIC) proposed a rule (Proposed Rule), with request for comments, that implements section 210(c)(16) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act or the Act) , which permits the FDIC, as receiver for a financial company whose failure would pose a significant risk to the financial stability of the United States (a covered financial company), to enforce contracts of subsidiaries or affiliates of the covered financial company despite contract clauses that purport to terminate, accelerate, or provide for other remedies based on the insolvency, financial condition or receivership of the covered financial company

Obama appoints Cordray as CFPB head

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 6 2012

On January 4, President Obama appointed former Ohio Attorney General Richard Cordray as Director of the Consumer Financial Protection Bureau (the CFPB

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

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