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577 results found

Article

Winston & Strawn LLP | USA, United Kingdom | 28 Jan 2019

Financial Services Update, Vol. 14, Issue 4

Last week, the Pennsylvania Department of Banking and Securities (“DoBS”) released guidance (“Guidance”) on the applicability of Pennsylvania’s Money

Article

Winston & Strawn LLP | USA | 25 Jan 2019

Reminder of Annual Requirements for Investment Managers - 2019

An Investment Manager that is registered with the SEC as an investment adviser (a “Registered Manager”) under the Investment Advisers Act of 1940, as

Article

DLA Piper | USA, Global | 24 Jan 2019

Fintech in the USA

A structured guide to fintech in the USA

Article

DLA Piper | USA, Global | 24 Jan 2019

Fintech regulation in the USA

A structured guide to fintech regulation in the USA

Article

Winston & Strawn LLP | USA | 10 Dec 2018

Financial Services Update, Vol. 13, Issue 45

When the news came last week that former President George Herbert Walker Bush had passed away, commentators began to characterize the legacy of our

Article

Troutman Sanders LLP | USA | 4 Dec 2018

Money Transmitters Face Ambiguity In State, Federal Law

Venmo's business model, which combines traditional payment processing with social media features, has caused the company compliance headaches. Over

Article

Winston & Strawn LLP | USA, United Kingdom, European Union | 19 Nov 2018

Financial Services Update, Vol. 13, Issue 43

The topic of Brexit has been the subject of a high degree of anxiety within the financial services industry. In a potentially positive development, on

Article

Winston & Strawn LLP | USA, United Kingdom | 12 Nov 2018

Financial Services Update, Vol. 13, Issue 42

Last Wednesday, federal prudential bank regulators proposed to reduce the call reporting burden on smaller banks by expanding the number of banks

Article

Winston & Strawn LLP | USA | 22 Oct 2018

Financial Services Update, Vol. 13, Issue 39

On October 16th, the SEC unanimously ruled against the New York Stock Exchange and Nasdaq Inc. (“the exchanges”) in concluding that they failed to

Article

Winston & Strawn LLP | USA, European Union | 18 Oct 2018

Financial Services Update, Vol. 13, Issue 38

In an October 3, 2018 speech, Steven Peikin, the SEC Co-Director of Enforcement, expressed concern that many critics tend to evaluate the SEC’s