News & Analysis as of

Risk Mitigation Securities

FINRA’s 2017 Regulatory & Exam Priorities

by Burr & Forman on

On January 4, new President and CEO Richard Cook issued FINRA’s Annual Regulatory and Examination Priorities Letter. This year’s list in summary is: New for 2017: Targeted electronic off-site reviews “on select...more

FinCEN’s Beneficial Ownership Rule and Increased AML Burden

Compliance officers at financial institutions have made great strides in improving Know Your Customer (KYC) programs to focus on knowing their customers as a critical function in combating money laundering. As regulators...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - The CFPB Publishes Final Rule for Prepaid Accounts - On October 5, 2016, the Consumer Financial Protection Bureau (the "CFPB") finalized comprehensive consumer protections for...more

SEC Proposes Shortening Broker-Dealer Settlement Cycle to T+2

by Stinson Leonard Street on

On September 28, 2016, the U.S. Securities and Exchange Commission (SEC) submitted a proposal to shorten the settlement cycle for broker-dealer transactions to two days after the trade date (T+2). The proposal would amend...more

The evolving nature of legal risk: Legal risk, as we once understood it, is changing. Companies need to be prepared to respond...

by White & Case LLP on

Over the past decade, many of the legal risks facing companies under US law have narrowed dramatically while others have proliferated. The advent of streaming news and social media means that local issues can become global...more

Indemnification Claims Under the CCAA A - Caution for Underwriters, Auditors, Directors and Others

by Bennett Jones LLP on

Indemnification clauses are often considered a critical component of risk mitigation strategies in legal relationships. However, as is well understood, the value of an indemnification clause, in the event it becomes...more

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Cybersecurity

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