Jeffrey Hare

Jeffrey Hare

DLA Piper

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Federal regulators propose joint rules to enhance banks’ cyber-risk management

Earlier this week, the Federal Reserve Board, the OCC, and the FDIC issued a joint advanced notice of proposed rulemaking outlining expectations and seeking public comment on enhanced cyber-risk management standards. This is...more

10/24/2016 - Advanced Notice of Proposed Rulemaking (ANPRM) Comment Period Cross-Border Cybersecurity Financial Institutions Mary Jo White OCC SEC

FinCEN proposes rule requiring AML programs for "banks lacking a federal functional regulator"

The US Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) has published a Notice of Proposed Rulemaking that would require anti-money laundering (AML) programs for banks that lack a federal functional...more

9/7/2016 - Banks BSA/AML Customer Due Diligence (CDD) FinCEN NPRM Public Comment

New York DFS requires transaction monitoring and filtering programs that address anti-money laundering and sanctions compliance...

The New York Department of Financial Services (NYDFS) has published a final rule aimed at addressing purported shortcomings on the part of financial institutions in detecting and preventing money laundering and sanctions...more

7/18/2016 - Banking Sector BSA/AML Final Rules Financial Institutions NYDFS

What to watch for in 2016 in financial regulation: important changes to AML rules for investment advisers coming this year

The Financial Crimes Enforcement Network of the US Department of the Treasury (FinCEN) published a proposed rule in August 2015 which scoped certain investment advisers into the definition of “financial institution” and...more

2/12/2016 - Bank Secrecy Act Compliance Corporate Counsel FinCEN Investment Adviser Proposed Regulation Suspicious Activity Reports (SARs)

Financial Services Regulation: Exchange – International Newsletter - Issue 26 – May 2015

DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-sixth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory developments in the...more

6/2/2015 - AIFMD AML-CTF Australia Banks Basel III Capital Markets Crowdfunding Deutsche Bank EU EU Directive European Securities and Markets Authority (ESMA) Financial Institutions Financial Regulatory Reform Foreign Banks Libor Middle East MiFID Netherlands Securities Shadow Banking Spain UK United States

Exchange – International Newsletter: Issue 24 – October 2014

WELCOME - DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-fourth edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory...more

11/5/2014 - Banks Compliance Enforcement Enforcement Actions EU Financial Conduct Authority (FCA) Financial Regulatory Reform Foreign Banks Leverage Ratio Liquidity Coverage Ratio Payday Loans Prudential Regulation Authority SEC UK

Financial Services Regulation: Exchange – International Newsletter - Issue 22 – April 2014

WELCOME - DLA Piper’s Financial Services International Regulatory team welcomes you to the twenty-second edition of ‘Exchange – International’ – an international newsletter designed to keep you informed of regulatory...more

4/28/2014 - Banking Sector Crowdfunding EU European Securities and Markets Authority (ESMA) Hong Kong UK

Federal regulators release Volcker Rule final regulations

Five federal financial regulatory agencies have released final rules implementing Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 619 created Section 13 in the Bank Holding Company Act...more

12/12/2013 - Bank Holding Company Act CFTC Deadlines Dodd-Frank Exemptions FDIC Federal Reserve Hedge Funds OCC Private Equity Proprietary Trading Reporting Requirements SEC Volcker Rule

Exchange – International Newsletter - Issue 20 – October 2013

INTRODUCTION - WELCOME - DLA Piper’s Financial Services International Regulatory team welcomes you to the twentieth edition of ‘Exchange - International’ - an international newsletter designed to keep you...more

10/18/2013 - Banks China EU European Commission Foreign Banks Hong Kong Shadow Banking UK

Six federal agencies revise proposed rule on risk retention, removing controversial provisions

Six federal financial regulatory agencies (the OCC, Federal Reserve Board, FDIC, FHFA, SEC and HUD) issued a notice revising their previous April 20, 2011 proposed rule on risk retention in securitization transactions. ...more

8/30/2013 - FDIC Federal Reserve FHFA HUD OCC Proposed Regulation Risk Retention SEC Securitization

Exchange - International Newsletter - Issue 19 – July 2013

DLA Piper’s Financial Services International Regulatory team welcomes you to the nineteenth edition of ‘Exchange – International’, an international newsletter designed to keep you informed of regulatory developments in the...more

7/5/2013 - Banking Sector Compliance EU Foreign Banks Foreign Investment International Tax Issues New Legislation New Regulations

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