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Finance & Banking Securities

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

Funds First seminar – responding to a regulatory incident in the new world of SMCR

by Bryan Cave Leighton Paisner on

At our recent Funds First seminar we shared some technical and market issues and updates on the Senior Managers and Certification Regime (SMCR) and the FCA’s current cross-sector focus on culture. This briefing sets out some...more

Dorsey & Whitney LLP

Preparing for LIBOR Substitution - Commercial and Consumer Lending Considerations

by Dorsey & Whitney LLP on

As of December 31, 2021 (the “Effective Date”), the use of LIBOR as an index for commercial and consumer loans will likely cease - which presents lenders and other industry participants with the challenges to address: (a) the...more

Eversheds Sutherland (US) LLP

Expanding the National Security review of foreign investments - Long-awaited regulations provide definitions, exceptions and some...

The Committee on Foreign Investment in the United States (“CFIUS”) has now released for public comment its long awaited proposed regulations (“Proposed Regulations”) to implement the landmark Foreign Investment Risk Review...more

Jones Day

Decision Time for the ISDA 2019 Narrowly Tailored Credit Events Protocol

by Jones Day on

The Situation: The International Swaps and Derivatives Associations, Inc. ("ISDA") is in the process of amending its credit derivatives documentation to address concerns market participants and regulators have raised...more

Dechert LLP

SEC Publishes Concept Release on Harmonization of Securities Offering Exemptions; Comment Deadline Approaching

by Dechert LLP on

The U.S. Securities and Exchange Commission published a concept release on June 18, 2019 (Release), seeking public comment “on ways to simplify, harmonize, and improve” the framework for exemptions from registration under the...more

Bass, Berry & Sims PLC

“Dick Clark’s Rockin’ Eve with Ryan Seacrest” Gets a Billion TV Viewers? SEC Staff Says Prove It

by Bass, Berry & Sims PLC on

It’s not too often we see Dick Clark and Ryan Seacrest mentioned in SEC comments, so this recent SEC comment letter issued to Planet Fitness caught our attention. The Staff’s letter to Planet Fitness indicates that it...more

Ary Rosenbaum

Just because they say they’re good, doesn’t make it so

by Ary Rosenbaum on

If people pass on enough incorrect information out there, you start to believe it. When I worked at that semi-prestigious law firm (sorry, Lois), we had a litigation partner that everyone told me was excellent. Being a naïve...more

Thomas Fox

Converge19-Anna Aster on The Future CECO: The Executive Recruiter's Perspective

by Thomas Fox on

CONVERGE is in its 4th year of bringing together the world’s leading companies for 2 days of dynamic speakers, thought-provoking breakout sessions, and opportunities to connect with like-minded professionals. You will leave...more

Ropes & Gray LLP

The Ropes Recap: Mergers & Acquisitions Law News - Q1/Q2 2019

by Ropes & Gray LLP on

FOLLOWING A STRONG YEAR, general consensus at the end of 2018 was that M&A activity in 2019 would slow down, if not come to a screeching halt. The headwinds certainly appeared to be against us, as going into the year and...more

Kramer Levin Naftalis & Frankel LLP

New Public Alternative Funds: UPDATED

Please see full Chart below for more information....more

Robins Kaplan LLP

Financial Daily Dose 9.20.2019 | Top Story: Fintech startup Stripe Inc. hits $35 billion valuation in latest funding round

by Robins Kaplan LLP on

Fintech firm Stripe Inc., which “allows internet companies and online marketplaces to accept credit cards for their goods and services and pay out money to the people and firms that sell on their platforms,” just wrapped a...more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2019: UPDATED

Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2018: UPDATED

Please see full Chart below for more information....more

Dechert LLP

Central Bank of Ireland Issues Deadlines for Year-End Fund Applications

by Dechert LLP on

On 16 September 2019, the Central Bank of Ireland (the “Central Bank”) sent a letter to the Irish funds industry outlining the timeframes for receipt of (i) new fund applications and (ii) post-authorisation amendments that...more

Ary Rosenbaum

The good old days for advisors are gone

by Ary Rosenbaum on

In the good old days of participant-directed 401(k) plans, a good chunk of financial advisors did very little work for the plans that they advised. Many of them sat back, collected their trail or asset-based fee, and maybe...more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2017: UPDATED

Please see full Chart below for more information....more

Robins Kaplan LLP

Financial Daily Dose 9.19.2019 | Top Story: Fed Cuts Rates Another Quarter percent

by Robins Kaplan LLP on

As pretty much expected, the Federal Reserve cut interest rates a quarter point again yesterday, its second cut since late July. Fed Chair Powell also indicated in remarks after the FOMC broke that a “‘more extensive’ series...more

Sheppard Mullin Richter & Hampton LLP

SEC Looks to Modernize Disclosure Approach

On August 8, 2019, the Securities and Exchange Commission (the “SEC”) announced that it voted to propose rule amendments to modernize the description of business, legal proceedings, and risk factor disclosures that public...more

Bass, Berry & Sims PLC

Chris Lazarini Discusses Affirmation of Criminal Conviction Based on Circumstantial Evidence

by Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini discussed a case in which the defendant appealed his criminal conviction for wire fraud, money laundering, and securities fraud claiming the government failed to prove fraudulent...more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2016: UPDATED

Please see full Chart below for more information....more

Kramer Levin Naftalis & Frankel LLP

Public Alternative Funds Archive - 2015: UPDATED

Please see full Chart below for more information....more

Goodwin

Financial Services Weekly News: Agencies Finalize Community Bank Leverage Ratio And Amend Swap Margin Rule

by Goodwin on

In This Issue. The Board of Governors of the Federal Reserve System (FRB), Office of the Comptroller of the Currency (OCC), and Federal Deposit Insurance Corporation (FDIC) (together, the federal banking agencies) finalized...more

Shearman & Sterling LLP

SOFR Surge Event: What Just Happened?!

by Shearman & Sterling LLP on

SOFR – the secured overnight funding rate in USD – is a rate published by the New York federal reserve based upon secured overnight transactions in the repo market. It is of increasing importance, since it has been regarded...more

Mayer Brown Free Writings + Perspectives

SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants, Replacing Industry Guide 3

On September 17, 2019, the Securities and Exchange Commission proposed rules to update the statistical disclosures that banks and loan registrants provide to investors, and eliminate disclosures that overlap with SEC rules,...more

Latham & Watkins LLP

Key Emerging Regulatory Issues and Focus Areas for Institutional Asset Managers

by Latham & Watkins LLP on

This publication maps out key current areas of legal or regulatory change that are of specific relevance for institutional asset managers. These focus areas are arranged thematically, by those that affect managers or...more

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Updated: May 25, 2018:

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Privacy Officer
JD Supra, LLC
10 Liberty Ship Way, Suite 300
Sausalito, California 94965

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Privacy Officer
JD Supra, LLC
10 Liberty Ship Way, Suite 300
Sausalito, California 94965

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Updates to This Policy

We may update this cookie policy and our Privacy Policy from time-to-time, particularly as technology changes. You can always check this page for the latest version. We may also notify you of changes to our privacy policy by email.

Contacting JD Supra

If you have any questions about how we use cookies and other tracking technologies, please contact us at: privacy@jdsupra.com.

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