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Federal Reserve Audits

Robins Kaplan LLP

Financial Daily Dose 2.24.2021 | Top Story: Chair Powell Promises Continued Fed Support for US Economy

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Your Federal Reserve update based on Chair Powell’s testimony before the Senate Banking Committee on Tuesday, including pushing back against concerns that the “economy is on the cusp of running too hot” ...more

Goodwin

SEC Adopts Rule Providing New Regulatory Framework For Fund-Of-Funds

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In the News. The Securities and Exchange Commission (SEC) announced that it adopted Rule 12d1-4 under the Investment Company Act of 1940 (the 1940 Act), providing a new regulatory framework for fund-of-funds and final...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Late last week, financial services company Raymond James agreed to resolve allegations of conspiring with the owner of several VT ski resorts (and others) in a Ponzi scheme targeting foreign investors through the EB-5...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Accounting giant KPMG has terminated six employees—including the head of its US audit practice—after learning that they were given “improper warnings” ahead of planned audit inspections by the Public Company Accounting...more

Katten Muchin Rosenman LLP

Bridging the Week - November 2016 #3

Federal District Court Approves Flash Crash Spoofer’s US $38 Million Settlement; Federal Appeals Court Appears Sympathetic to Michael Coscia’s Claim That Spoofing Prohibition Is Too Vague - The US federal court handling...more

Goodwin

FHA Hopes to Encourage Mortgage Lending with Neighborhood Watch Enhancement

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The Federal Reserve Bank of New York recently did a study which found that, while mortgage loan originations increased through the second quarter of 2015, the increase is only for borrowers with credit scores above 660). ...more

Orrick, Herrington & Sutcliffe LLP

Orrick Technology IPO Insights - Q2 2015

After a slow start to initial public offerings in the first quarter of 2015, overall IPO activity began to pick up in the second quarter. However, concerns about turmoil in Greece, market declines in China and questions about...more

Ballard Spahr LLP

OIG updated work plan adds focus to information security, compensation, and distribution of civil penalty funds

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The most notable items added by the Office of Inspector General (OIG) to its work plan, updated as of July 7, 2014, are audits of the CFPB’s information security program, pay and compensation program, and distribution of...more

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