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NYDFS proposes new antimoney laundering requirements, liability for compliance officers

USA - December 7 2015 On December 1, 2015, New York Governor Andrew Cuomo announced proposed New York State Department of Financial Services ("NYDFS") rules that would...

Robert T. Dura, David A. O'Neil, Satish M. Kini, Paul L. Lee, Eric R. Dinallo.

The “Yates Memorandum”: has DOJ really changed its approach to white collar criminal investigations and individual prosecutions?

USA - September 15 2015 In response to criticism in some circles that the Department of Justice (DOJ) had failed to bring criminal prosecutions arising out of the financial...

Matthew E. Fishbein, Matthew L. Biben, Eric R. Dinallo, Mark P. Goodman, Courtney M. Dankworth.

Second Circuit restores teeth to insider trading personal benefit requirement

USA - December 11 2014 In a landmark decision providing much needed clarity as to the contours of remote tippee liability for insider trading actions, the Second Circuit...

Matthew E. Fishbein, Sean Hecker, Matthew E. Kaplan, Eric R. Dinallo, Mark P. Goodman.

CFPB proposes auto finance larger participant rule, releases fair lending supervisory report and proxy methodology

USA - September 22 2014 On September 17, 2014, the Consumer Financial Protection Bureau (the "CFPB" or "Bureau") proposed a regulation to define "larger participants in a...

Eric R. Dinallo, Mary Beth Hogan, Philip A. Fortino, Liz Alspector, Courtney M. Dankworth.

Provocative DOJ proposal aims to hold financial services executives criminally liable, even absent criminal intent

USA - September 22 2014 On September 17, 2014, Attorney General Eric Holder and Deputy Assistant Attorney General Marshall L. Miller both made speeches emphasizing the U.S...

Matthew E. Fishbein, Sean Hecker, Mark P. Goodman, Bruce E. Yannett, Mary Beth Hogan.