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FINRA Regulatory Matters at a Glance: What Compliance Officers Need to Know - April 2016
  • Winston & Strawn LLP
  • USA
  • May 3 2016

Trade Reporting and Compliance Engine (TRACE): Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems


Poor Risk Management Jeopardizes Coverage After Untimely Notice
  • Hunton & Williams LLP
  • USA
  • April 29 2016

On April 14, 2016, in the case of St. Paul Mercury Ins. Co. v. Am. Bank Holdings, Inc., 15-1559, 2016 WL 1459517, at 1 (4th Cir. Apr. 14, 2016), the


FINRA Issues Report on Digital Investment Advice
  • Thompson Hine LLP
  • USA
  • April 28 2016

In March 2016, the Financial Industry Regulatory Authority (FINRA) issued a report on its review of digital investment advice tools used by


ABA seeks interagency guidance related to force-place flood insurance premiums
  • BuckleySandler LLP
  • USA
  • April 28 2016

On April 22, the American Bankers Association (ABA) sent a letter to the OCC, the Federal Reserve, and the FDIC regarding force-place flood insurance


Financial Regulators Propose Incentive Compensation Rules under Dodd-Frank
  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • USA
  • April 27 2016

On April 21, 2016, the Securities and Exchange Commission, the Office of the Comptroller of the Currency, the Board of Governors of the Federal


Details Emerge: Proposed Regulation of Incentive Compensation at Large Financial Institutions
  • Sullivan & Cromwell LLP
  • USA
  • April 27 2016

Yesterday, the Federal Deposit Insurance Corporation, the Federal Housing Finance Agency and the Office of the Comptroller of the Currency each


Recent Comments from OFAC Regarding Cuba-Related Sanctions
  • Duane Morris LLP
  • Cuba, USA
  • April 26 2016

On April 21, 2016, the U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC) updated its Frequently Asked Questions Related to


State Staffing Update - 26 April 2016
  • Manatt Phelps & Phillips LLP
  • USA
  • April 26 2016

The Department of Financial Services (DFS) announced Scott Fischer as New York's Executive Deputy Superintendent for Insurance. Fischer was


Late notice to insurer costs Maryland bank millions
  • Womble Carlyle Sandridge & Rice LLP
  • USA
  • April 26 2016

Insurance law generally imposes on a policyholder the duty to give timely notice of claims to its insurance company. Sometimes, because of


CFPB Scrutinized During Oral Argument Before the D.C. Circuit in PHH Corp. v. Consumer Financial Protection Bureau
  • Greenberg Traurig LLP
  • USA
  • April 22 2016

In a closely watched case testing the limits of the Dodd-Frank Act's creation of the Consumer Financial Protection Bureau (CFPB), the U. S. Court of