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DOJ and international investment bank enter into plea agreement to resolve LIBOR manipulation claims, bank agrees to pay $2.5 billion penalty
  • BuckleySandler LLP
  • USA
  • April 25 2015

On April 23, the DOJ announced that an international investment bank and its subsidiary agreed to plead guilty to wire fraud for its alleged conduct

FinCEN issues advisory on FATF-identified jurisdictions with AMLCFT deficiencies
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

On July 20, the Financial Crimes Enforcement Network (FinCEN) issued an advisory announcing that the Financial Action Task Force (FATF) has updated

Other developments
  • Ropes & Gray LLP
  • USA
  • March 31 2015

Since the last issue of our IM Update, we have also published the following separate Alerts of interest to the investment management industry: SEC

US and UK regulators and authorities fine Deutsche Bank $2.5 billion for failings related to IBOR and LIBOR
  • Shearman & Sterling LLP
  • United Kingdom, USA
  • April 29 2015

On April 23, 2015, US and UK regulators imposed fines on Deutsche Bank AG for failings related to EURIBOR and LIBOR (collectively known as IBOR

Financial services update vol. 10, issue 21
  • Winston & Strawn LLP
  • United Kingdom, USA
  • June 15 2015

Daniel Sibears, Executive Vice President for Regulatory Operations at the Financial Industry Regulatory Authority (“FINRA”), gave a speech at a

Financial services update February 17 2015 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • February 17 2015

Transferred OTS Regulations Regarding Possession by Conservators and Receivers for Federal and State Savings Associations. 80 FR 5015. Removal of

U.S. Regulatory Developments: What to Expect in 2016
  • Morrison & Foerster LLP
  • USA
  • December 14 2015

As we make our annual prognostications, there is less visibility than in years past regarding many regulatory and enforcement matters. The majority

Financial services update, vol. 10, issue 43
  • Winston & Strawn LLP
  • USA
  • December 14 2015

At its December 11th Open Meeting, the SEC voted to propose new rules under the Investment Company Act of 1940 (as amended, the “40 Act”) that would

SEC flexes its enforcement muscle for securities-based swaps
  • Proskauer Rose LLP
  • USA
  • August 5 2015

The broad definition of a "swap" in the Dodd-Frank Act, read literally, would encompass many transactions that Congress never intended to cover, so

Self-reporting: a wise strategy or chasing unicorns?
  • Barnes & Thornburg LLP
  • USA
  • April 28 2015

As we noted in an earlier post, Department of Justice (DOJ) representatives have been emphasizing this spring the financial benefits of cooperation