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Financial Services Update, Vol. 11, Issue 35
  • Winston & Strawn LLP
  • USA
  • September 26 2016

The Securities and Exchange Commission’s (“SEC”) Office of Compliance, Inspections and Examinations (“OCIE”) issued a Risk Alert on September 12th


Community Banks - Week in Review - September 26, 2016
  • Nelson Mullins Riley & Scarborough LLP
  • USA
  • September 26 2016

Apart from the FDIC Chairman's statement last Tuesday about coming reductions in DIF assessments for most banks, the past week had little


The Financial Report, 22 September 2016, US Exchanges and Self-Regulatory Organizations
  • DLA Piper LLP
  • USA
  • September 22 2016

FINRA sanctions Avenir Financial, CEO and registered representative for misconduct in self-offerings. The Financial Industry Regulatory Authority


Financial Services Update, Vol. 11, Issue 34
  • Winston & Strawn LLP
  • USA
  • September 19 2016

A federal court recently granted the Consumer Financial Protection Bureau (CFPB) summary judgment regarding liability against CashCall, Inc., its


Barclays to Pay $100 Million to Settle Multistate LIBOR Manipulation Investigation
  • Baker & Hostetler LLP
  • USA
  • September 15 2016

The LIBOR scandal is back in the news with Attorney General Eric Schneiderman’s announcement of a $100 million settlement between Barclays and 44


Federal Civil Penalties Set to Increase Significantly, Many Present Retroactivity Concerns
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • September 14 2016

Over the past several months, many federal agencies have adopted rules significantly increasing the maximum civil monetary penalties ("CMPs") they can


International Regulatory Update 5 - 9 September 2016
  • Clifford Chance LLP
  • Australia, European Union, USA
  • September 13 2016

The European Supervisory Authorities (ESAs) have published an opinion rejecting the EU Commission’s proposed amendments to the final draft regulatory


Hensarling Chooses CHOICE; CFTC Moves Forward with Priorities as Nominees Pending Confirmation, Administration Outlines Approach to Correspondent Banking
  • Squire Patton Boggs
  • USA
  • September 12 2016

Last Friday, September 9, House Financial Services Committee Chairman Jeb Hensarling (R-TX) announced his intention to move forward with the


This week at the UK regulators - 12 September 2016
  • Clifford Chance LLP
  • United Kingdom, USA
  • September 12 2016

Although no significant enforcement cases were concluded last week, the FCA and PRA released several consultation papers and policy statements. The


International Regulatory Update 22 - 26 August 2016
  • Clifford Chance LLP
  • European Union, Global, United Kingdom, USA
  • August 30 2016

Clifford Chance's International Regulatory Update is a weekly digest of significant regulatory developments affecting banking and investment banking