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CFPB fair lending guidance for indirect auto lenders – it's not just about cars

USA - June 4 2013 Several weeks ago, the Consumer Financial Protection Bureau ("CFPB") issued a fair lending guidance bulletin ("Bulletin") directed at financial…

Leonard N. Chanin, Matthew W. Janiga, Wendy M. Garbers.

Now the fun begins: FSOC proposes the first three nonbank SIFIs

USA - June 4 2013 In a June 3, 2013 closed-door meeting, the Financial Stability Oversight Council ("FSOC") voted to propose the designation of three financial…

Jay G. Baris.

Key issues for Yankee CDs

USA - May 15 2013 Yankee CDs are certificates of deposit issued by U.S. branches of non-U.S. banks. Some Yankee CDs are issued by a federally licensed branch that is…

Bradley Berman, Lloyd S. Harmetz, Muhannad R. Al-Najjab.

Due diligence procedures for structured note distributors

USA - May 15 2013 Sections 11 and 12 are the main liability provisions under the Securities Act of 1933, as amended (the "Securities Act"). Section 11 covers…

Bradley Berman, Lloyd S. Harmetz, Muhannad R. Al-Najjab.

The SEC and FINRA: protect your elders

USA - May 15 2013 In April 2013, the SEC, in association with FINRA, held a Compliance Outreach Program for broker-dealers. The program included a panel that addressed…

Bradley Berman, Lloyd S. Harmetz, Muhannad R. Al-Najjab.