Legal Commentary and Resources for the Banking and Financial Services Industry
Articles: 1-10 of 41
The Regulatory Trio: Long-Term Debt and Resolution Plan Proposals Signal Need for Greater Clarity and Simplification
USA - September 7 2023 On August 29, 2023, the Board of Governors of the Federal Reserve System (FRB), the Office of the Comptroller of the Currency (OCC), and the Federal…
Banking and Consumer Regulatory Digest
USA - September 3 2023 The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal…
Broker Dealer Regulatory Digest
USA - September 3 2023 The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal…
Broker Dealer Regulatory Digest
USA - August 6 2023 Securities and Exchange Commission. Cybersecurity. SEC adopted a final rule (see Fact Sheet) requiring registrants to disclose material cybersecurity…
May 2023 UDAAP Bulletin
USA - June 12 2023 The following document provides a monthly roundup summarizing enforcement actions, guidance, rulemakings, and other public statements from the…
REMINDER: Compliance Deadline for FTC's GLBA Safeguards Rule Is Around the Corner
USA - May 18 2023 A reminder to non-bank financial institutions subject to the Gramm-Leach-Bliley Act (GLBA): the deadline to comply with the Federal Trade…
SEC Adopts Proposals to Enhance Share Repurchase Disclosures and Private Fund Reporting
USA - May 5 2023 On May 3, 2023, the Commission announced that it adopted amendments to two rules enhancing disclosure requirements for share repurchases and private…
March 2023 UDAAP Bulletin
USA - April 13 2023 The following is a monthly roundup summarizing enforcement actions, guidance, rulemakings, and other public statements from the Consumer Financial…
CFPB Officially Takes Aim at Credit Card Late Fees
USA - March 29 2023 The Consumer Financial Protection Bureau (CFPB or Bureau), under Director Chopra, is moving toward placing new restrictions on fees for the late…
SEC Proposes Host of New Rules for Data Security, Cybersecurity, and IT Resilience
USA - March 24 2023 The Securities and Exchange Commission (SEC or Commission) voted on March 15, 2023, to propose three new sets of rules for data security…
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