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Financial Services Update, Vol. 12, Issue 1
  • Winston & Strawn LLP
  • USA
  • January 9 2017

Last week, the Financial Industry Regulatory Authority, Inc. (“FINRA”) released its Annual Regulatory and Examination Priorities Letter (“Priorities


FINRA’s 2017 Regulatory & Exam Priorities
  • Burr & Forman LLP
  • USA
  • January 5 2017

On January 4, new President and CEO Richard Cook issued FINRA’s Annual Regulatory and Examination Priorities Letter. This year’s list in summary is:


Funds Talk: January 2017
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • January 3 2017

Following months of criticism and concerns from banks, insurance companies and other financial services institutions, the New York


Nutter Bank Report, December 2016
  • Nutter McClennen & Fish LLP
  • USA
  • December 27 2016

The OCC has announced that it will consider applications for special purpose National Bank charters for financial technology (“fintech”) companies


U.S Treasury Department issues guidance to assist financial institutions in reporting cyber-related crimes.
  • Adams and Reese LLP
  • USA
  • December 22 2016

On October 25, 2016, the Financial Crimes Enforcement Network (FinCEN) of the U.S. Treasury Department issued an advisory that provides financial


Keeping an Eye OutUpdates and Briefly Noted
  • Manatt Phelps & Phillips LLP
  • Ireland, USA
  • December 22 2016

We last covered the SEC’s Whistleblower Program in our November 2016 newsletterunder “Give a Little WhistleSEC Whistleblower Program Update.” Some


Financial Regulatory Developments Focus December 20 2016
  • Shearman & Sterling LLP
  • European Union, United Kingdom, USA
  • December 20 2016

On December 12, 2016, the US Board of Governors of the Federal Reserve System issued a statement of policy regarding how banking entities may seek


Virtual Currencies: Growing Regulatory Framework and Challenges in the Emerging Fintech Ecosystem
  • Fried Frank Harris Shriver & Jacobson LLP
  • China, European Union, Japan, United Kingdom, USA
  • December 19 2016

In the context of a widely publicized explosion of new technology and innovation designed to disrupt the marketplace of traditional financial


Federal Regulator Signals Willingness to Grant National Bank Charters to Fintech Companies
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • December 8 2016

On December 2, 2016, the Office of the Comptroller of the Currency (OCC) announced its willingness to entertain applications from financial


Analysis of OCC’s Fintech Charter Proposal
  • Hudson Cook LLP
  • USA
  • December 7 2016

On Friday, December 2, 2016, the Office of the Comptroller of the Currency (“OCC”) published its long-awaited