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Results: 1-10 of 3,907

The OCC Launches Its New FinTech Charter Initiative
  • Pepper Hamilton LLP
  • USA
  • December 6 2016

Whether the long and arduous chartering process, ongoing examination and supervision requirements, substantial capital requirements and limitations


Shoe’s on the Other Foot: Dem AGs May Challenge Federal Regulatory Changes
  • Morgan Lewis & Bockius LLP
  • USA
  • December 2 2016

As the incoming administration of President-elect Donald J. Trump prepares to roll back federal regulations impacting a wide variety of industries


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


Beneficial Owner Rules: 10 Key Takeaways
  • Fredrikson & Byron PA
  • USA
  • December 1 2016

While the compliance deadline for financial institutions to implement the new beneficial owner rules will not arrive until May 11, 2018, compliance


The CFPB Issues Guidance on Effective Compliance Oversight Over Sales and Other Incentives
  • Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • USA
  • December 1 2016

On November 28, 2016, the Consumer Financial Protection Bureau issued a compliance bulletin entitled "Detecting and Preventing Consumer Harm from


CFPB Issues Compliance Bulletin as to Incentives in Wake of Wells Fargo Consent Order
  • Smith Debnam Narron Drake Saintsing & Myers LLP
  • USA
  • November 30 2016

In the wake of the Wells Fargo debacle, the CFPB has issued a Compliance Bulletin which addresses employee incentives and the consumer risks


CFPB Outlines Expectations on Incentive Compensation
  • Stinson Leonard Street LLP
  • USA
  • November 30 2016

The CFPB issued a bulletin warning supervised financial companies that creating incentives for employees and service providers to meet sales and other


Lessons Learned in London
  • Lane Powell PC
  • USA
  • November 30 2016

Earlier this month, I spent a week in the birthplace of D&O insurance, London. In addition to moderating a panel at Advisen’s European Executive


Back to the FutureTrump Administration Seeks to Roll Back Financial Services Regulation
  • Paul Hastings LLP
  • USA
  • November 30 2016

On January 20, 2017, Donald J. Trump will be sworn in as the 45th President of the United States. Upon becoming President, both the United States


Financial Services Industry Seeing Increase in Requests from Federal Regulatory Agencies for Diversity and Inclusion Policy
  • Dinsmore & Shohl LLP
  • USA
  • November 30 2016

Section 342 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act" or "Act) mandated certain federal regulatory