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Industry Letters

Rivkin Radler LLP

DFS Warning Of Widespread Data Breach

Rivkin Radler LLP on

Sometimes a comprehensive overview is needed to recognize that individual anomalous conduct is indicative of a criminal scheme. Recently, the Department of Financial Services (DFS) looked at an unusual pattern of interaction...more

Goodwin

SEC Issues No-Action Relief On Registered Funds’ Custody Of Loan Interests

Goodwin on

In this Issue. The U.S. Securities and Exchange Commission (SEC) was very active this week, having (i) issued no-action relief allowing registered funds to engage in self-custody of interests in loans that are originated,...more

Dechert LLP

The Central Bank’s CP86 Day of Reckoning – What You Need To Know

Dechert LLP on

For many in the Funds Industry, the issue on 20 October 2020 of the Central Bank of Ireland’s (the “Central Bank”) Industry Letter (the “Industry Letter”) relating to the Central Bank’s Thematic Review of Fund Management...more

White and Williams LLP

NYDFS Demands Regulated Entities Submit Preparedness and Financial Risks Management Plans Relating to COVID-19

White and Williams LLP on

In separate “Industry Letters” addressed to “The Chief Executive Officers or the Equivalents of New York State Regulated Institutions,” the New York Department of Financial Services (NYDFS) has mandated that regulated...more

White & Case LLP

NYDFS Requires LIBOR Transition Plans by Early February

White & Case LLP on

On December 23, 2019, the New York Department of Financial Services (NYDFS) issued an Industry Letter instructing each institution it regulates, including banks and licensed Fintechs, to make submissions describing the...more

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