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K&L Gates LLP

FDIC Proposes Expanding Change in Bank Control Act Reviews Aimed at Asset Managers

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Executive Summary - Last month, the Federal Deposit Insurance Corporation (FDIC) Board of Directors (FDIC Board) proposed an amendment to its regulations under the Change in Bank Control Act of 1978 (CBCA). Driven by the...more

McDermott Will & Emery

PFOF Verbot

McDermott Will & Emery on

Die Bundesanstalt für Finanzdienstleistungsaufsicht („BaFin“) wird zunächst nicht gegen die Bezahlung von Wertpapierfirmen durch Dritte für die Weiterleitung von Kunden-Aufträgen (sog. Payment for Order flow („PFOF“))...more

McDermott Will & Emery

[Webinar] Deal Academy 2024: Data Center – Erwerb und Vertragsgestaltung - March 20th, 9:30 am - 10:30 am CET

We would like to invite you again to our McDermott Deal Academy. This time, our online seminar will focus on the real estate asset class “data centers”. Our real estate and regulatory experts would like to discuss the...more

A&O Shearman

Regulatory monitoring: EU version Newsletter - February 2024

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1. Bank regulation - 1.1 Prudential regulation - (a) General - (i) EU - ECB: Memorandum of Cooperation between ECB and CAs on third-country bank supervision - Status: Final - The ECB has published a Memorandum of...more

Goodwin

FAQs About US Bank Failure

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Deposit Insurance - Are the deposits at my bank FDIC-insured? Deposits held at FDIC-insured depository institutions are insured up to $250,000 per depositor for deposits held in the same “right and capacity.”...more

A&O Shearman

UAE looks to sustainable finance to boost transition

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There is a growing awareness and demand in the UAE for sustainable investment opportunities. To meet this demand, Jodi Norman and Will Tunstall-Prince explain how recent reforms are now putting sustainable finance at the...more

Faegre Drinker Biddle & Reath LLP

The New Fiduciary Rule (1): An Overview

The US Department of Labor has released its package of proposed changes to the regulation defining fiduciary advice and to the exemptions for conflicts and compensation for investment advice to plans, participants (including...more

Dechert LLP

ERISA Déjà-Boo? New Halloween Fiduciary Proposal May Be a Real Scream

Dechert LLP on

The Department of Labor (“DOL”) on October 31, 2023—Halloween—issued a release (the “Release”) proposing to make changes to the 1975 rule (the “1975 Rule”) defining when institutions and individuals are providing fiduciary...more

Proskauer - Private Market Talks Podcast

[Podcast] Private Market Talks Episode 12: Canvassing the Global Debt Capital Markets with J.P. Morgan’s Kevin Foley

Welcome to Season Two of Private Market Talks. We start this season with a conversation with Kevin Foley, Global Head of Debt Capital Markets for J.P. Morgan, the world’s largest bank. J.P. Morgan is a major player across the...more

Dechert LLP

Fix the CRE CLO, Mr. Market:  Tear Down This Wall!

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CRE CLO technology is languishing in the toolbox.  A combination of high interest rates, a mispriced legacy book, an anxious investor base and no real need to refresh capital until borrowers start borrowing again is largely...more

McDermott Will & Emery

[Hybrid Event] Deal Academy 2023 – Photovoltaik - April 19th, Frankfurt/Main, Germany

McDermott Will & Emery on

Wir laden Sie wieder herzlich zu unserer McDermott Deal Academy ein – persönlich in Frankfurt und gleichzeitig virtuell per Live-Stream. Dieses Mal zum Thema Photovoltaik. Unsere Real Estate-, Fonds- und Steuer-Experten...more

Perkins Coie

Investment Company Status Considerations for Cash Positioning in Wake of Bank Failures

Perkins Coie on

Given this week’s headlines, many emerging companies may be asking themselves: “Why am I holding so much cash?” The Investment Company Act of 1940 (the 1940 Act) may be to blame. “But I don’t have any intention of...more

Dechert LLP

The CRE CLO Unleashed

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Our fine little CRE CLO business has exploded over the past couple of years, hasn’t it?  Last year, around this time, I recklessly predicted for my friends at Commercial Mortgage Alert that we might hit $30 billion of...more

K&L Gates LLP

SEC Enforcement Action Cites Bank for Operating Collective Investment Funds as Unregistered Investment Companies: Key Takeaways...

K&L Gates LLP on

Banks and trust companies maintaining collective investment funds (CIFs) took notice when the U.S. Securities and Exchange Commission (SEC) announced enforcement proceedings on 30 September 2020 against Great Plains Trust...more

Goodwin

Fintech 2020: A Global Survey on the State of Financial Technology

Goodwin on

Letter from Our Co-Chairs - As the digital transformation of financial markets accelerates at breakneck speeds, fintech presents significant opportunities and challenges for both investors and innovators around the world. ...more

Goodwin

Financial Services Weekly Roundup: SEC Proposes Modified Disclosure Framework For Funds

Goodwin on

In the News. The Securities and Exchange Commission (SEC) proposed modifying the disclosure framework for mutual funds and exchange-traded funds (funds), which would create a new layered disclosure regime that attempts to...more

Goodwin

Financial Services Weekly News: Financial Regulators Respond To Coronavirus Outbreak

Goodwin on

In This Issue. The ongoing global outbreak of the coronavirus (COVID-19) continues to grow in scale and scope, creating public health and humanitarian challenges worldwide. Global economies are also being impacted. Federal...more

Dechert LLP

FCA Enforcement Risk: The Year Ahead

Dechert LLP on

Firms will need to ensure their systems and controls to prevent financial crime and money laundering are working effectively: this is just part of the message contained in the FCA’s Business Plan for 2019/20. The Business...more

Goodwin

Financial Services Weekly News - February 2019

Goodwin on

Editor's Note - In This Issue. The Board of Governors of the Federal Reserve System (Federal Reserve) released 2019 stress test scenarios and exempted less complex banks with between $100 billion and $250 billion in assets...more

Bass, Berry & Sims PLC

Chris Lazarini Comments on Fiduciary Duty in ERISA Plan Management

Bass, Berry & Sims attorney Chris Lazarini commented on a putative ERISA class action case brought against several banks and their affiliates alleging breach of fiduciary duty or for knowing participation in prohibited...more

Morgan Lewis

GDPR’s New Requirements: What Investment Managers, Funds, Banks, and Broker-Dealers Need to Know

Morgan Lewis on

The European General Data Protection Regulation, which will come into force on May 25, 2018, requires companies, including investment managers, funds, banks, and broker-dealers, with operations in Europe or information about...more

Goodwin

Financial Services Weekly News - August 2017 #2

Goodwin on

Editor's Note - In This Issue. The Consumer Financial Protection Bureau (CFPB) released prototypes of “Know Before You Owe” overdraft disclosure forms and provided an updated rulemaking agenda for 2017; the Federal Reserve...more

Goodwin

Financial Services Weekly News - December 2016 #3

Goodwin on

Editor's Note - The End of “Too Big to Fail”? On December 15, the Board of Governors of the Federal Reserve System (Federal Reserve Board) adopted a final rule to strengthen the ability of government authorities to...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Wells Fargo is well past the rain, the pouring, and even the flooding. So why not possible liability for its RMBS practices? As part of an SEC disclosure, the bank acknowledge that it’s “in discussion” with the RMBS Working...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

Some thoughts—from Chair Yellen, herself—about why, despite pretty strong economic indicators for a pretty long time now, the Fed hasn’t begun to raise rates again....more

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