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Finance & Banking Updates

Read Finance & Banking Law updates, alerts, news, and legal analysis from leading lawyers and law firms:

Zebra Crossings: the view on secondment in Johannesburg

by Hogan Lovells on

When I left the UK, bound for Johannesburg, it was (and remains) a turbulent time with the UK government facing difficult negotiations in the coming years first over Brexit and now too in relation to its very ability to...more

Spanish law endorses a new class of senior "non-preferred" debt instruments (or senior second ranking notes): the starting gun has...

by Allen & Overy LLP on

Royal Decree-Law 11/2017 of 23 June on urgent actions on financial matters (RDL 11/2017) has recently been approved by the Spanish Government. RDL 11/2017 (3rd paragraph of Article 3) has amended Law 11/2015 (implementing...more

The Strategy Behind Strategic Planning

by Bryan Cave on

Jim McAlpin joins host Jonathan Hightower to discuss the steps that banks should take to ensure effective strategic planning sessions, along with common mistakes that banks make in approaching the planning process....more

Treasury Seeks to Reshape Financial Services Regulatory Regime

by Goodwin on

On June 12, 2017, the U.S. Department of the Treasury issued a 150-page report called for by President Trump’s Executive Order 13772 on Core Principles for Regulating the United States Financial System. The Report, entitled...more

Funds Should Gear to Tap into U.S. Infrastructure Growth

by K&L Gates LLP on

Last week, investors from all over the world gathered in Washington for the annual SelectUSA Investment Summit. Despite what were sometimes pessimistic headlines, the message they heard was clear: America is open for business...more

What is the Impact of the Financial Choice Act on Small Business? It Depends On Who You Ask.

by Sedgwick LLP on

The House of Representatives passed legislation this month aimed at erasing several key provisions of the 2010 Dodd-Frank Act. The Financial Choice Act (the Act), if enacted, would bring vast changes to the financial...more

Healthcare & Life Sciences Private Equity Deal Tracker: GTCR Acquires GreatCall

by McGuireWoods LLP on

GTCR has announced it will acquire GreatCall. GTCR, founded in 1980 and based in Chicago, is a PE firm that invests in a number of sectors, including healthcare. Since its inception, GTCR has invested more than $12 billion...more

Recast Insolvency Regulation

by Reed Smith on

The Recast Insolvency Regulation (Regulation 2015/848) (“Recast Regulation”) will apply to all member states of the EU (with the exception of Denmark) in relation to insolvency proceedings opened on or after 26 June 2017. The...more

Compliance News Flash

by Arnall Golden Gregory LLP on

This week’s news flash – a quick overview of timely background screening and immigration-related news that is important to your organization. - A California federal jury recently found that a consumer reporting agency...more

Investment Funds Update: Europe: Legal and regulatory updates for the funds industry from the key asset management centres and...

by Dechert LLP on

AMF Priorities in the EMIR Review - The Autorité des Marchés Financiers (the “AMF”, the French financial markets authority) published two position papers on 2 May 2017 relating to the EMIR review...more

California Ruling Requires TransUnion to Pay Record $60M for FCRA Violations; Suit Alleged Consumer Reports Erroneously Linked...

by Kelley Drye & Warren LLP on

A California jury in federal court ruled on Tuesday, June 20, that TransUnion violated the Fair Credit Reporting Act (FCRA) by erroneously linking certain consumers with similarly named terrorists and criminals in the U.S....more

Proposed Rules Aimed at High-Risk Brokers Confirm FINRA Push for Firms to “Do Their Part”

by McGuireWoods LLP on

Financial Industry Regulatory Authority (FINRA) President and CEO Robert Cook spoke earlier this month at Georgetown University’s McDonough School of Business, where he outlined several proposals to further what he called one...more

Pitfalls a 401(k) Sponsor Can Avoid With Plan Providers

by Ary Rosenbaum on

While much of the focus concerning the liability of sponsoring a 401(k) plan is about plan expenses thanks to the many lawsuits filed against plan sponsors. However for most plan sponsors, the greatest liability they actually...more

Financial Services Quarterly Report - Second Quarter 2017: Increasing Focus on European ETFs

by Dechert LLP on

The rise of passive investment strategies and the growing momentum of investment in exchange-traded funds (ETFs) has not gone unnoticed by European regulators. The Central Bank of Ireland (Central Bank) recently released a...more

Red Light for New Activist Strategy

by Jones Day on

Earlier this month, General Motors ("GM") won a decisive victory in a proxy contest waged by Greenlight Capital, the activist fund headed by David Einhorn. Greenlight claimed that GM's shares, which were trading at a price...more

EU General Data Protection Regulation – a survival guide for private equity

by Hogan Lovells on

To say that the EU General Data Protection Regulation (GDPR or the Regulation) will change the existing data protection framework in Europe is an understatement. In less than a year, an ambitious, complex and strict law will...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - Treasury Department Report: Decreasing Regulatory Burdens, Increasing Regulatory Accountability and Fostering Economic Growth - On June 12, 2017, the U.S. Treasury Department released...more

Day 18 of One Month to Better Investigations and Report-Reporting Line Best Practices

by Thomas Fox on

Today I would like to review some best practices regarding a compliance hotline. ...more

More on the IPO Market from the SEC Investor Advisory Committee

The Committee devoted the morning’s session to a discussion of the decline in the number of U.S. IPOs. Chair Clayton addressed the Committee and noted that the decline in the number of U.S. IPOs and in the number of listed...more

The Financial Report, Volume 6, Number 12

by DLA Piper on

On June 8, the United States House of Representatives passed the Financial CHOICE (Creating Hope and Opportunity for Investors, Consumers and Entrepreneurs) Act of 2017, which would repeal and replace the Dodd-Frank...more

Proposed Changes to U.S. Sanctions Against Russia "Countering Russian Influence in Europe and Eurasia Act of 2017"

by Bennett Jones LLP on

On June 15, 2017, the U.S. Senate voted 98-2 in favour of new sanctions against Russia in the face of express opposition from President Trump's administration. The proposed law includes significant changes to the current U.S....more

HVCRE: Busting Myths

by Dechert LLP on

The Trump administration and Congress have lots on the agenda: tax reform, financial regulation reform, job creation (think infrastructure spending, maybe?) and more. While it seems unlikely that much of anything “real” is...more

Up into the Clouds?

by Latham & Watkins LLP on

Cloud services come with the promise of many benefits for the financial services sector. Cloud computing offers large-scale and cost-effective solutions for data storage and efficient processing and is also the underlying...more

Corporate and Financial Weekly Digest - Volume XII, Issue 23

SEC/CORPORATE - SEC Updates to Form ADV FAQs - On June 12, the staff of the Securities and Exchange Commission’s Division of Investment Management updated its Frequently Asked Questions on Form ADV and IARD. Much of the...more

FCA Consults on UK Implementation of EU Benchmarks Regulation

by Latham & Watkins LLP on

FCA proposes amendments to UK rules and clarifies timing for applications by benchmark administrators. Key Points: ..The FCA is consulting on consequential changes to the Handbook, plus additional UK aspects of...more

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