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DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue

Morrison & Foerster LLP
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USA
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May 15 2013

Last week, the U.S. Department of Justice (DOJ) announced the indictment of two employees of a U.S. broker-dealer, Direct Access Partners, and a

IOSCO consultation report on financial benchmarks

Morrison & Foerster LLP
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Global
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May 6 2013

As we have previously reported, a Task Force of the International Organization of Securities Commissions ("IOSCO") published a consultation on

The UK’s Financial Services Act 2012: some key features

Morrison & Foerster LLP
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United Kingdom
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April 15 2013

In the late 1990s, the UK Financial Services Authority (the "FSA") was created by Gordon Brown, the incumbent-Chancellor of the Exchequer, combining

Federal Reserve Board approves final rules defining when significant nonbank firms are “predominantly engaged in financial activities”

Morrison & Foerster LLP
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USA
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April 4 2013

On April 3, the Federal Reserve Board ("Board") published a final rule ("Rule") specifying when a financial company that may be made subject to

A European financial transaction tax

Morrison & Foerster LLP
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European Union
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March 15 2013

In September 2011, the European Commission initially proposed that a financial transaction tax ("FTT") be implemented by all 27 EU Member States

OCC regulations impacting bank note offerings become effective

Morrison & Foerster LLP
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USA
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January 22 2013

On January 1, 2013, the new regulations of the Office of the Comptroller of the Currency (the "OCC") amending Part 16.6 of the OCC's securities

FINRA proposal requires disclosure of enhanced compensation

Morrison & Foerster LLP
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USA
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January 16 2013

Continuing ongoing efforts to address conflicts of interest in the financial services industry, FINRA requested comments on a Proposed Rule

FINRA provides early guidance about its exam priorities; firms should take notice

Morrison & Foerster LLP
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USA
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January 15 2013

In its annual summary of regulatory and examination priorities, the Financial Industry Regulatory Authority (FINRA) signaled that it will

Dodd-Frank implementation: navigating the road ahead

Morrison & Foerster LLP
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USA
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December 20 2012

Almost two-and-a-half years after the enactment of the Dodd-Frank Act, the various federal agencies charged with implementation have made measurable

Here Comes 2013

Morrison & Foerster LLP
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USA
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December 18 2012

The business and regulatory environment for structured products continues to evolve, sometimes in ways that surprise all of us

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Search results

DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue

IOSCO consultation report on financial benchmarks

The UK’s Financial Services Act 2012: some key features

Federal Reserve Board approves final rules defining when significant nonbank firms are “predominantly engaged in financial activities”

A European financial transaction tax

OCC regulations impacting bank note offerings become effective

FINRA proposal requires disclosure of enhanced compensation

FINRA provides early guidance about its exam priorities; firms should take notice

Dodd-Frank implementation: navigating the road ahead

Here Comes 2013

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