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

OCC issues final guidelines on recovery planning for covered banks

On October 21, the OCC issued its final guidelines meant to strengthen recovery planning for large insured banks. The guidelines were a response to significant withdrawals of uninsured deposits in March 2023 that led to the...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Truth Shall Set You Free As A 401(k) Plan Provider

Our lives are the sum of our choices. How we act and choose to interact with other people can have a bear- ing on our business as 401(k) plan provid- ers. I may be good at a lot of things, but lying isn’t one of them. I...more

Hinshaw & Culbertson - Consumer Crossroads

Tips for Loan Servicers on Defending Consumer Claims in Federal Court and Making Successful Article III Standing Challenges

Loan servicers and their counsel are often sued by consumers during contested mortgage foreclosure proceedings. The United States Supreme Court’s opinions in Spokeo, Inc. v. Robins and TransUnion v. Ramirez continue to be an...more

Orrick, Herrington & Sutcliffe LLP

OCC releases enforcement actions for October 2024

On October 17, the OCC released a list of recent enforcement actions taken against banks and individuals affiliated with national banks, federal savings associations and institution-affiliated parties, or IAPs. The OCC issued...more

Morgan Lewis

MAS Issues Circular on Anti-Scam Measures for Major Payment Institutions That Provide E-Wallets

Morgan Lewis on

The Monetary Authority of Singapore (MAS) published the Circular on Anti-Scam Measures by Major Payment Institutions Providing Personal Payment Accounts That Contain E-money on 25 October 2024, setting out MAS’s supervisory...more

Orrick, Herrington & Sutcliffe LLP

FDIC releases September enforcement actions

On October 25, the FDIC released a list of administrative enforcement actions taken against banks and individuals in September. During the month, the FDIC made public ten orders consisting of “four consent orders, four orders...more

Kelley Drye & Warren LLP

Ad Law News and Views - October 2024

IN THE NEWS AND LATEST UPDATES - Get these and other stories in real time when you subscribe to the Ad Law Access blog here or visit the Advertising and Privacy Law Resource Center here....more

Sands Anderson PC

Private Real Estate Syndications: A Q&A with Kinloch Capital's Peter Walls

Sands Anderson PC on

Sands Anderson’s Brian Pitney recently interviewed Founding Parter and Chief Investment Officer Peter Walls of Kinloch Capital about private real estate syndications. They discussed how Kinloch Capital identifies commercial...more

Orrick, Herrington & Sutcliffe LLP

OCC Acting Comptroller Hsu discusses systemic risks

On October 25, Acting Comptroller of the Currency, Michael J. Hsu, delivered a speech to nonprofit council committed to addressing global systemic risks. In his prepared remarks, Hsu explained how he categorizes systemic...more

Hudson Cook, LLP

CFPB Bites of the Month - October 2024 - (Don't Fear) The Reaper CFPB

Hudson Cook, LLP on

In this month's article, we share some of our top "bites" for the prior and current month covered during the October 2024 webinar. ...more

Morgan Lewis

ADA Compliant Websites: Uptick in Litigation Against Financial Services Firms, Increased Regulatory Attention

Morgan Lewis on

Amid a notable recent uptick in website accessibility cases, both threatened and filed, against financial services companies alleging violations under the Americans with Disabilities Act (ADA) and/or similar state and local...more

Orrick, Herrington & Sutcliffe LLP

OCC releases its Interest Rate Statistics Report from 2022 to 2024

On October 21, the OCC released its semiannual Interest Rate Risk Statistics Report, which presented data the OCC collected during examinations of midsize and community banks and federal savings associations. The report...more

Ropes & Gray LLP

ABS East 2024: Key Takeaways

Ropes & Gray LLP on

Overview: Notable Developments in Esoteric ABS - The amount of private cash available to invest and the issuer demand for liquidity are driving a continued increase in issuance volume in the market for esoteric ABS,...more

Cozen O'Connor

The State AG Report – 10.31.2024

Cozen O'Connor on

Here are curated AG and federal regulatory news stories highlighting key areas in which state and federal regulators’ decisions are having an impact across the US: •New York AG Takes Another Big Hit Against Unlicensed...more

Holland & Hart - The Benefits Dial

Everything Counts in Large Amounts…2025 IRS Limits Announced

by Lyn Domenick The IRS has announced the 2025 cost of living adjustments to qualified plan limits...more

Kohrman Jackson & Krantz LLP

Betting on Trump or Harris? US Federal Court of Appeals Says That’s Ok, For Now

Earlier this week, the financial services company Robinhood, which caters to retail investors, rolled out its derivative market for trading on the outcome of the upcoming United States presidential election. These trades are...more

Smith Gambrell Russell

IRS Cost-of-Living Adjustments-Employee Benefit Plan Limitations for 2025

Smith Gambrell Russell on

Effective: January 1, 2025 The IRS has released the 2025 cost-of-living adjustments applicable to the dollar limitations on benefits and contributions of retirement plans and health and welfare benefit plans.  We recommend...more

Proskauer - Regulatory & Compliance

Motor Finance Cases Set New Standards for Disclosure

The Motor Finance Commission Claims – including Johnson v FirstRand Bank, Wrench v FirstRand Bank, and Hopcraft v Close Brothers – are a set of Court of Appeal cases addressing undisclosed or partially disclosed commission...more

ArentFox Schiff

FinCEN Releases Final Anti-Money Laundering Rule for Investment Advisers

ArentFox Schiff on

On August 28, the Financial Crimes Enforcement Network (FinCEN) issued a final rule establishing anti-money laundering and countering the financing of terrorism (AML/CFT) compliance obligations for US Securities and Exchange...more

J.S. Held

Current Enforcement Efforts in the Battle Against COVID-19 Loan Program Fraud

J.S. Held on

The COVID-19 pandemic caused unprecedented impacts around the world including stay-at-home orders, curfews, quarantines, and economic uncertainty. Businesses across the United States were forced to close their doors, limit...more

Thomas Fox - Compliance Evangelist

Compliance Tip of the Day – The 2024 ECCP is a Game Changer for Compliance and Culture

Welcome to “Compliance Tip of the Day,” the podcast where we bring you daily insights and practical advice on navigating the ever-evolving landscape of compliance and regulatory requirements. Whether you’re a seasoned...more

Thomas Fox - Compliance Evangelist

Adventures in Compliance: The Case-Book of Sherlock Holmes – Unveiling Compliance Lessons in The Problem of Thor Bridge

In this new season of Adventures in Compliance, host Tom Fox takes a deep dive into the Sherlock Holmes collection The Case-Book of Sherlock Holmes by Arthur Conan Doyle. It is the final set of twelve Sherlock Holmes short...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Drinking Water State Revolving Funds: U.S. Environmental Protection Agency Releases 2023 Annual Report

The United States Environmental Protection Agency (“EPA”) released on October 17th its: 2023 Drinking Water State Revolving Fund Annual Report (“Report”). ...more

Thomas Fox - Compliance Evangelist

Corruption, Crime & Compliance: TD Bank Agrees to Pay Over $3 Billion for Systemic Violations of Bank Secrecy Act and Money...

How does a respected financial institution turn into a criminal operation? In this episode of Corruption, Crime, and Compliance, host Michael Volkov dives into the record-breaking $3 billion settlement between TD Bank and the...more

Thomas Fox - Compliance Evangelist

FCPA Compliance Report – The 2024 ECCP on Data-Driven Culture and Engagement

Welcome to the award-winning FCPA Compliance Report, the longest-running podcast in compliance. In this edition, Tom Fox visits with Sam Silverstein on how compliance professionals should view the new DOJ mandate on using...more

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