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Financial Products

American Conference Institute (ACI)

[Event] 8th Forum on FinTech & Emerging Payment Systems - April 9th - 10th, New York, NY

ACI’s 8th Annual Legal, Regulatory, and Compliance Forum on Fintech & Emerging Payment Systems will provide in-depth guidance on the latest regulatory developments at the Federal and State Level that you need to be aware of....more

Harris Beach PLLC

Estate Planning: Eight Steps to Take Now

Harris Beach PLLC on

Many think estate planning is only a concern for those who are later in their stage of life or wealthy. They put it off for years, or entirely. Estate planning is for everyone and essential to maintain financial security...more

Proskauer Rose LLP

ESAs report on Principal Adverse Impact disclosures

Proskauer Rose LLP on

The annual report of the European Supervisory Authorities (the “ESAs”) on the extent of voluntary disclosure of principal adverse impacts (“PAIs”) under the Sustainable Finance Disclosure Regulation (“SFDR”) was published on...more

Goodwin

EU Sustainable Finance Legislative Impact on Private Funds: Overview Guide - June 2023

Goodwin on

The Sustainable Finance Disclosure Regulation (SFDR) is a European regulation that has applied directly in the EU (and EEA countries) since March 2021. The aim of the SFDR is to provide harmonised disclosure requirements,...more

Jones Day

SEC Rebuked for Failing to Explain Why It Declined to Regulate a Financial Product

Jones Day on

The SEC's loss highlights a bigger problem with legislation that calls for sharing jurisdiction with the CFTC over financial products....more

Latham & Watkins LLP

European Commission Clarifies Aspects of SFDR With Additional Guidance

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The Commission has clarified requirements for financial product classifications and the definition of “sustainable investment” under the SFDR. ...more

ASKramer Law

Taxation of Derivatives Held by Investors: What to Know

ASKramer Law on

The taxation of derivatives and financial products has developed in an uncoordinated and piecemeal fashion. Tax rules have largely been enacted in response to what the government has perceived as abusive transactions —...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Senator wants crypto option, good luck

As Bitcoin starts inching back up, I’m in the black again and expect more clamor for crypto options in 401(k) plans. Senator Tommy Tuberville, R-Alabama, reintroduced legislation to create a law, the Financial Freedom Act...more

White & Case LLP

Down but not out: Crypto takes a hit in 2022 but is not going anywhere

White & Case LLP on

Never has the digital asset space experienced such a succession of high-profile implosions and steady flow of negative mainstream press coverage, leaving many to ask—what next? The crypto industry has endured arguably its...more

Cadwalader, Wickersham & Taft LLP

ESMA Stakeholder Group Warns Against “Green-Bleaching”

In a response to a call for evidence on greenwashing by the European Securities and Markets Authority (ESMA), the Securities and Markets Stakeholder Group (SMSG) emphasized the importance for EU authorities to ensure that any...more

Hinch Newman LLP

FTC Finalizes Credit Karma Order Requiring Hefty Payment and the Cessation of Allegedly Deceptive ‘Pre-Approved’ Claims

Hinch Newman LLP on

In September 2022, the Federal Trade Commission announced that it had taken action against credit services company Credit Karma for allegedly deploying dark patterns to misrepresent that consumers were “pre-approved” for...more

Orrick, Herrington & Sutcliffe LLP

NYDFS gives custodial guidance on crypto insolvency

On January 23, NYDFS reiterated expectations for sound custody and disclosure practices for entities that are licensed or chartered to custody or temporarily hold, store, or maintain virtual currency assets on behalf of...more

Dechert LLP

ESAs publish Q&A on the SFDR RTS

Dechert LLP on

Commission Delegated Regulation (EU) 2022/1288, setting out the regulatory technical standards (RTS) to be used by financial market participants (FMPs) when disclosing sustainability-related information under the Sustainable...more

Seward & Kissel LLP

Open Banking is Coming to America

Seward & Kissel LLP on

On October 27, 2022, the Consumer Financial Protection Bureau (“CFPB”) announced a new regulatory framework (“Framework”) governing “Personal Financial Data Rights,” or, by another name, “open banking.” Conceptually, open...more

Sheppard Mullin Richter & Hampton LLP

CFPB Issues Proposed Rulemaking on Data Access and Portability

Recently, the CFPB released an outline of proposed measures related to the Bureau’s Dodd-Frank Section 1033 rulemaking efforts that would allow consumers the rights over their personal financial data. The outline discusses...more

King & Spalding

Considerations for Hybrid Rule 144A and 4(a)(2) Transactions

King & Spalding on

Sophisticated investors in structured finance products are increasingly demonstrating an interest in entering the market via direct private placements pursuant to Section 4(a)(2) of the Securities Act of 1933, either in...more

Dechert LLP

The German Financial Regulator BaFin clarifies the EU Commission’s Q&As regarding SFDR

Dechert LLP on

The German Financial Regulator, ("BaFin"), published guidance ("Guidance") on 5 September 2022, that provides some further clarity on various questions on the Sustainable Finance Disclosure Regulation ("SFDR"). BaFin has...more

Mintz

Keeping Up With Kim Kardashian’s Crypto – SEC Fines Kardashian $1.26 Million For Undisclosed Crypto Promotion

Mintz on

Kim Kardashian, the reality television personality, social media star, and entrepreneur has agreed to pay $1.26 million to settle the SEC’s claims that she improperly touted a crypto token without disclosing that she had been...more

Dechert LLP

ESG Alert – CSSF announces Fast Track Approval Process for SFDR Level 2 disclosures

Dechert LLP on

The Commission de Surveillance du Secteur Financier (CSSF), the Luxembourg financial services regulator, on 27 July 2022 issued a communication to the investment fund industry reminding it of the deadline of 1 January 2023...more

Shearman & Sterling LLP

International Bodies Confirm Application of Principles for Financial Market Infrastructures to Systemically Important Stablecoin...

The International Organization of Securities Commissions and the Committee on Payments and Market Infrastructures have published guidance on the application of the Principles for Financial Market Infrastructures to...more

Skadden, Arps, Slate, Meagher & Flom LLP

Regulatory Actions and Legislative Proposals Signal Growing Consensus on Parameters for Stablecoins

Recent guidance from the New York State Department of Financial Services (DFS) and a proposed bill in the U.S. Senate portend more regulatory and legislative activity to clarify the status of and requirements for stablecoin...more

Dechert LLP

New York State Department of Financial Services Issues Guidance Addressing USD-Backed Stablecoins; Proposed Responsible Financial...

Dechert LLP on

DFS Guidance - The New York State Department of Financial Services (DFS) Superintendent Adrienne A. Harris issued new DFS Regulatory Guidance (Guidance) on June 8, 2022, setting foundational criteria for USD-backed...more

Troutman Pepper

CA DFPI Request for Comment on Cryptocurrency-Related Financial Products and Services - The Consumer Finance Podcast

Troutman Pepper on

Please join Troutman Pepper Partner Chris Willis and his guests and fellow Partners Keith Barnett and Ethan Ostroff as they discuss the recent request for comment from California’s Department of Financial Protection and...more

Nelson Mullins Riley & Scarborough LLP

The Approaching Stablecoin Regulations

In the wake of the LUNA-UST collapse in which the value of UST and LUNA crashed over 99 percent over a period of days due price manipulation of the algorithmic stablecoin, the Federal Reserve and other regulators have become...more

Dechert LLP

Contagion

Dechert LLP on

What I know about cryptocurrency can be inscribed on a head of pin with a jackhammer.  But I know it’s a thing; I know it’s a big thing and getting bigger.  So, these past few weeks I have been reading with interest...more

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Privacy Officer
JD Supra, LLC
150 Harbor Drive, #2760
Sausalito, CA 94965

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Privacy Officer
JD Supra, LLC
150 Harbor Drive, #2760
Sausalito, CA 94965

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Updates to This Policy

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Contacting JD Supra

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