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A Different Approach to Regulatory Relief

USA - July 8 2016 Community banks indeed need regulatory relief. Regulators generally agree, but their hands are tied as a decadelong enforcement environment drags on…

Banks Should Take Note of FINRA 2016 Examination Priorities

USA - February 4 2016 The Financial Industry Regulatory Authority (FINRA), the independent self-regulatory body for the securities industry, has issued its list of…

Carol R. Van Cleef, Charles E. Washburn, Jr., John F. Libby, Craig D. Miller, Harold P. Reichwald

CFPB Orders "Buy Here, Pay Here" Auto Dealer to Pay $800,000 for "Abusive" Financing Schemes

USA - February 4 2016 Continuing to keep a close eye on the auto lending industry, the Consumer Financial Protection Bureau (CFPB) ordered a "Buy Here, Pay Here" car…

Carol R. Van Cleef, Charles E. Washburn, Jr., John F. Libby, Craig D. Miller, Harold P. Reichwald

Bank Executives, Board Members Hit With SEC Fraud Charges

USA - February 4 2016 A group of bank executives and board members were hit with fraud charges by the Securities and Exchange Commission (SEC), with the agency accusing…

Carol R. Van Cleef, Charles E. Washburn, Jr., John F. Libby, Craig D. Miller, Harold P. Reichwald

UPDATE re Is New York's Proposal a Harbinger of Things to Come? Certification of BSA/AML Compliance and Personal Liability for Mistaken or False Certification

USA - February 4 2016 This announcement comes just days after New York Governor Andrew Cuomo nominated Maria Vullo, another lawyer, to replace Benjamin Lawsky, who…

Carol R. Van Cleef, Charles E. Washburn, Jr., John F. Libby, Craig D. Miller, Harold P. Reichwald