News & Analysis as of

ECB speaks on banking supervision

Daniele Nouy has spoken on the first year of European banking supervision and what lies ahead. She reported unprecedented progress and cooperation, and said not only the supervision, but also necessary follow up, had been...more

CME Group Issues Notice Related to Employee Supervision

On November 2, CME Group issued Market Regulation Advisory Notice RA1517-5 (Notice) related to the supervision of employees and agents conducting business on the CME Group Exchanges. The Notice reminds Exchange members that...more

FTC Gives Mixed Review of South Carolina’s Nurse Supervision Proposal

The Federal Trade Commission (FTC or Commission) submitted written comments on November 2nd to South Carolina’s state legislature on the competitive impact of proposals to modify the supervision requirements for advanced...more

NLRB Discusses Joint Employment for the First Time Since Browning-Ferris

The National Labor Relations Board, in one of its first applications of the Browning-Ferris decision, gave hope to non-union contracting entities engaged in franchising and subcontracting relationships. After an extensive...more

FTC Provides Guidance on State Regulatory Board Antitrust Liability Following Supreme Court Decision

Earlier this year, we covered the Supreme Court’s decision in North Carolina State Board of Dental Examiners v. FTC, which held that a state regulatory board composed of “active market participants” was not immune to federal...more

FINRA Proposes Rules to Help Avoid Financial Exploitation of Seniors

Avoiding financial exploitation of older investors has been on our regulators’ radar screens for several years. With new rules proposed in October 2015, FINRA seeks to make investing safer for seniors and other vulnerable...more

CFTC Brings Enforcement Action for Swap Reporting Violations

The Commodity Futures Trading Commission (CFTC) recently brought its first enforcement action arising from the Dodd-Frank requirement that swap transactions be reported to a registered swap data repository (SDR). The CFTC has...more

FTC Answers the Call for Guidance Regarding Antitrust Compliance for State Regulatory Boards Controlled by Market Participants

In North Carolina State Board of Dental Examiners v. FTC, 135 S. Ct. 1101 (2015), the Supreme Court held that the North Carolina Board of Dental Examiners (“Board”), a state agency, was not exempt from federal antitrust laws...more

Employment Law Commentary - Volume 27, Issue 8, September 2015

The NLRB’s Decision In Browning-Ferris Industries Of California (2015) One Month Later: Is The Sky Falling For Employers? - The short answer to the question is, “Not yet.” Browning-Ferris Industries of California, Inc....more

Financial Regulatory Developments Focus - September 2015 #5

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

New York City’s RBA Falls to Preemption Challenge

New York City banks are breathing a sigh of relief after a federal judge ruled that they would not have to provide detailed servicing disclosures under a preempted city law. The law, a gloss on top of the federal Community...more

FCA Publishes New Supervisory Approach for Regulated Firms in UK

On September 18, the UK Financial Conduct Authority (FCA) published two papers with new guidance (the “Guides”) regarding how it will supervise different types of UK regulated financial services firms in the future. ...more

Australian Superannuation Update: Independent Directors Superannuation Governance Bill

On Wednesday, 16 September 2015, the government tabled legislation that, if passed, will impose, in the case of corporate trustees, a requirement that one third of directors be independent from the trustee with an independent...more

OCC Outlines its 2016 Operating Plan to Set Forth the Agency’s Supervision Priorities and Objectives

The Office of the Comptroller of the Currency (OCC) released its bank supervision operating plan for fiscal year 2016 on September 25th. The operating plan sets forth the agency’s supervision priorities and objectives as...more

Corporate and Financial Weekly Digest - Volume X, Issue 37

SEC/CORPORATE - SEC Advisory Committee on Small and Emerging Companies Makes Recommendations - On September 23, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory...more

FCA Publishes New Market Watch Focusing on Commodities Traders and Market Abuse

On September 3, the Financial Conduct Authority (FCA) published issue 49 of Market Watch, its newsletter on market conduct and transaction reporting issues. In it, the FCA sets out its findings following a thematic review it...more

The Financial Report - Volume 14, No. 17 - September 2015 (US)

We all love to quote statistics when they tend to support whatever position we may be advocating. At the same time, however, we are often loath to take the time and effort to respond to surveys or provide information needed...more

NLRB Expands Joint-Employer Standard: Exercising Direct Control No Longer Required

The National Labor Relations Board (“NLRB”) overturned decades-old precedent by vastly expanding its definition of “joint employer,” upending established federal labor law and creating tremendous uncertainty for companies....more

SEC Issues Risk Alert on Broker-Dealer Controls Regarding Retail Sales of Structured Securities Products

On August 24, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations’ National Examination Program staff (Staff) released a Risk Alert summarizing findings from an examination of 10...more

Just in Time for Labor Day – Employees You Didn’t Know Were Yours

The National Labor Relations Board (“NLRB”) on August 27, 2015, issued a sweeping decision that overturned decades of precedent and created a new standard for determining when two (or more) entities are “joint employers” for...more

The Financial Report - Volume 4, No. 16 • August 2015 (Global)

CSA proposes harmonized reporting for the exempt market. The Canadian Securities Administrators (CSA) published for comment proposed amendments to National Instrument 45-106 Prospectus Exemptions that would introduce a new...more

FCA's Competition Law Concurrency Guidance

Since 1 April 2015, the UK financial services community has awaited with some trepidation the use by the FCA of its new "concurrent competition law powers". These enable the FCA to investigate and sanction companies for...more

CMS Addresses Current Position on Supervision and Practitioner Qualifications Under ‘Incident-To’ Billing Rules

Among the proposed changes to Medicare regulatory requirements related to billing and coverage of physician services set forth in the 2016 Medicare Physician Fee Schedule Proposed Rule (the Proposed Rule), the Centers for...more

ESMA Publishes Final Report on Draft Rules Under MiFID II

On June 29, the European Securities and Markets Authority (ESMA) published its final report (Report) on draft rules (both draft implementing technical standards (ITS) and draft regulatory technical standards (RTS)) relating...more

OCC Report Identifies Risks to Banks, Sets Supervisory Priorities

A new report issued by the federal Office of the Comptroller of the Currency (OCC) identifies top safety and soundness risks to national banks and federal savings associations, as well as OCC supervisory priorities for the...more

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