Articles

Results 6 to 10 of 17
Most popular |Most recent


Financial Industry Awaits OCC Fintech Charter Decision

USA - August 1 2018 The regulatory landscape of the U.S. fintech industry could soon see a milestone development, as the Office of the Comptroller of the Currency (OCC)…

David S. Berg, Jamie D. Kocis.

Funds Talk: May 2017

USA - May 1 2017 While the Securities and Exchange Commission (SEC) has garnered significant attention for its increased efforts and focus on regulating and enforcing…

Ronald M. Feiman, Christopher Auguste, Samantha V. Ettari, Richard E. Farley, Steve Ni.

Funds Talk: March 2017

USA - March 1 2017 On Feb. 7, 2017, the Securities and Exchange Commission’s (SEC’s) Office of Compliance...

Ronald M. Feiman, Dana M. Anagnostou, Barry Herzog, Robert N. Holtzman, Thomas T. Janover, Daniel A. Rabinowitz, Kevin P. Scanlan, George M. Silfen, Alexander Traum, Robin Wilcox.

Funds Talk: February 2017

European Union, USA - February 1 2017 As the new year begins, U.S. regulators highlighted the areas - some new and some familiar - which will be the focus of their examinations in the…

Dana M. Anagnostou, Fabien Carruzzo, Samantha V. Ettari, Barry Herzog, Robert N. Holtzman, Thomas T. Janover, Daniel A. Rabinowitz, Ernest S.Wechsler, Kevin P. Scanlan, Robin Wilcox.

Risk Retention Issues in Securitization

USA - September 1 2016 Section 941 of the Dodd-Frank Act required various agencies to implement rules that require a sponsor of a securitization to retain at least 5% of…