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641 results found

Article

K&L Gates | USA | 29 Jun 2018

Supreme Court Offers Others a Chance for a Second Bite at the Apple in Federal Administrative Adjudication Proceedings - But the Clock is Ticking

On June 21, 2018 the U.S. Supreme Court ruled in Lucia et al. V. Securities and Exchange Commission, that the appointment of certain

Article

Skadden Arps Slate Meagher & Flom LLP | USA | 9 Jun 2017

Potential Impact of Financial CHOICE Act on Corporate Governance and SEC Reporting and Disclosure Requirements

On June 8, 2017, the House of Representatives passed, by a 233-186 vote (with all Democrats and one Republican voting against), the Financial CHOICE

Article

Buckley LLP | USA | 20 Apr 2017

Legislation Proposed to Create Consistent Financial Data Reporting Standards Across Federal Agencies

On March 16, Congressmen Darrell Issa (R-Calif.) and Jared Polis (D-Colo.) introduced the Financial Transparency Act of 2017 (H.R. 1530), a

Article

Winston & Strawn LLP | USA | 3 Apr 2017

Financial Services Update, Vol. 12, Issue 14

Since January 20, there has been a flurry of activity at the White House affecting the regulation of financial services, including the issuance of

Article

Winston & Strawn LLP | USA, United Kingdom, European Union | 27 Feb 2017

Financial Services Update, Vol. 12, Issue 8

Dodd-Frank Act reform was one of President Trump’s campaign promises, as he considered it a restraint on credit availability and, thus, a drag on

Article

Cadwalader Wickersham & Taft LLP | USA | 6 Feb 2017

The Trump Administration: President Trump Issues Executive Actions on Dodd-Frank and the DOL “Fiduciary” Rule

On February 3, 2017, President Trump signed two executive actions intended to provide a framework for scaling back the Dodd-Frank Act (“Dodd-Frank

Article

King & Wood Mallesons | Global, Hong Kong | 26 Jul 2016

What’s on the global AMLCTF agenda? 8 key messages from the FATF plenary

The global standard-setter on AMLCTF, the Financial Action Task Force (FATF) held its recent plenary meeting in Busan, Korea. Coverage included the

Article

Morgan Lewis | USA | 6 Jul 2016

Regulatory Violations May Now Come with Significantly Higher Penalties

Starting August 1, violations of financial regulations will come with higher civil money penalties (CMPs). The CMP increases are in response to the

Article

Stinson LLP | USA | 14 Nov 2011

GAO report urges additional coordination between agencies when implementing Dodd-Frank regulations

The Dodd-Frank Wall Street Reform and Consumer Protection Act requires or authorizes various federal financial regulators to issue hundreds of rules to implement reforms intended to strengthen the financial services industry.

Article

Hunton Andrews Kurth LLP | USA | 6 Jul 2011

Securities and Exchange Commission adopts final whistleblower rules under the Dodd-Frank Act; internal reporting encouraged but not required

On May 25, 2011, by a three-to-two vote of its commissioners, the Securities and Exchange Commission (the “Commission”) adopted final rules implementing the whistleblower provisions of Section 21F of the Securities Exchange Act of 1934 (as amended, the “Exchange Act”).

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