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SEC Charges Publicly Traded Global Financial Services Firm With Miscomputing Regulatory Capital
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Bank of New York Mellon Corporation agreed to pay a fine of US $6.6 million to resolve charges brought by the Securities and Exchange Commission


FINRA Publishes 2017 Regulatory and Examination Priorities Letter
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2017

On January 4, the Financial Industry Regulatory Authority published its Annual Regulatory and Examinations Letter (Priorities Letter), which outlines


FFIEC Streamlines Call Reports for Small Institutions
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2017

The Federal Financial Institutions Examination Council (FFIEC) published a Federal Register Notice on December 30, 2016, finalizing the reporting


Federal Regulators Issue FAQs on New Credit Losses Accounting Standard
  • Katten Muchin Rosenman LLP
  • USA
  • January 6 2017

On June 16, 2016, the Financial Accounting Standards Board issued Accounting Standards Update (ASU) No. 2016-13, Topic 326, Financial Instruments -


Risk Retention in CMBS: A Look Back and a Look Forward
  • Katten Muchin Rosenman LLP
  • USA
  • December 20 2016

Industry participants looked forward to 2016 with a great deal of anticipation considering both the implementation of the risk retention rules, and


Federal Banking Agencies Finalize Rules Increasing Number of Banks and Savings Associations Eligible for 18-Month Examination Cycle
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2016

On December 12, the Federal Deposit Insurance Corporation, Federal Reserve Board and Office of the Comptroller of the Currency issued joint final


Fintech Gains a National Platform: Federal Regulator Plans To Accept Fintech Applications for Special Purpose National Bank Charters
  • Katten Muchin Rosenman LLP
  • USA
  • December 6 2016

The primary regulator of the nation's largest banks, the Office of the Comptroller of the Currency (OCC), said Friday that it is considering issuing


UK FCA Confirms No Guidance to be Published on the Application of the UCITS Remuneration Code
  • Katten Muchin Rosenman LLP
  • USA
  • December 2 2016

On November 17, the UK Financial Conduct Authority (FCA) updated its webpage focused on Undertakings for Collective Investment in Transferable


Dollar Financial UK Ltd v HMRC:
  • Katten Muchin Rosenman UK LLP
  • European Union, United Kingdom, USA
  • December 1 2016

The decision in Dollar Financial UK Ltd v HMRC 2016 UKFTT 598 will likely be of interest to a range of participants in the lending


Bank Settles SEC and FRB Charges That It Violated Federal Law by Hiring Relatives and Friends of Asia-Based Government Officials
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

JPMorgan Chase agreed to settle civil charges brought by the Securities and Exchange Commission and the Board of Governors of the Federal Reserve