News & Analysis as of

Investment Funds Banking Sector

K&L Gates LLP

FDIC Proposes Expanding Change in Bank Control Act Reviews Aimed at Asset Managers

K&L Gates LLP on

Executive Summary - Last month, the Federal Deposit Insurance Corporation (FDIC) Board of Directors (FDIC Board) proposed an amendment to its regulations under the Change in Bank Control Act of 1978 (CBCA). Driven by the...more

A&O Shearman

Regulatory monitoring: EU version Newsletter - July 2024

A&O Shearman on

1. Bank regulation - 1.1 Prudential Regulation - (a) General - (i) International - BCBS: Consultation on report regarding various technical amendments and FAQs - Status: Consultation - Deadline for the submission of...more

A&O Shearman

Regulatory monitoring - July 2024

A&O Shearman on

1. Bank regulation - 1.1 PRUDENTIAL REGULATION - a) General - (i) International - BCBS: Consultation on report regarding various technical amendments and FAQs - Status: Consultation - Deadline for the submission of...more

Skadden, Arps, Slate, Meagher & Flom LLP

ECB Mandates Board Expertise in Addressing ICT and Security Risks

Earlier this year, a dedicated policy prepared by the European Central Bank (ECB) came into effect requiring bank management bodies to broaden their collective understanding of and proficiency in identifying and dealing with...more

A&O Shearman

Regulatory monitoring: EU version Newsletter - March 2024

A&O Shearman on

1. Bank regulation- 1.1 Prudential regulation- (a) General- (i) International- BCBA: Basel III monitoring report- Status: Final- BCBS has published its latest monitoring report setting out the impact of the Basel III...more

Wilson Sonsini Goodrich & Rosati

Revenue Purchase or Predatory Loan? New York Attorney General Targets Merchant Cash Advance Providers

On March 5, 2024, the New York Attorney General (AG) Letitia James sued Yellowstone Capital LLC (Yellowstone) and various affiliates, accusing them of running a predatory lending operation by disguising the loans as purchases...more

McDermott Will & Emery

PFOF Verbot

McDermott Will & Emery on

Die Bundesanstalt für Finanzdienstleistungsaufsicht („BaFin“) wird zunächst nicht gegen die Bezahlung von Wertpapierfirmen durch Dritte für die Weiterleitung von Kunden-Aufträgen (sog. Payment for Order flow („PFOF“))...more

A&O Shearman

Regulatory monitoring Newsletter - February 2024

A&O Shearman on

1. Bank regulation - 1.1 Prudential regulation - (a) General - (i) EU - ECB: Memorandum of Cooperation between ECB and CAs on third-country bank supervision - Status: Final - The ECB has published a Memorandum of...more

A&O Shearman

Regulatory monitoring: EU version Newsletter - February 2024

A&O Shearman on

1. Bank regulation - 1.1 Prudential regulation - (a) General - (i) EU - ECB: Memorandum of Cooperation between ECB and CAs on third-country bank supervision - Status: Final - The ECB has published a Memorandum of...more

Cadwalader, Wickersham & Taft LLP

Missing Miami March 1, 2024 - 13 Takeaways From Miami

More than 1,800 industry players attended the 13th annual Global Fund Finance Symposium that wrapped up yesterday afternoon at the Fontainebleau in Miami Beach. There was a lot to talk about in terms of market evolution...more

McDermott Will & Emery

Update für Wertpapierinstitute: Wertpapierinstituts-Inhaberkontrollverordnung verkündet

McDermott Will & Emery on

Am 15. Januar 2024 wurde die Wertpapierinstituts-Inhaberkontrollverordnung im Bundesgesetzblatt verkündet, die Verordnung ist am heutigen Tage in Kraft getreten. Inhaberkontrollverfahren bei Wertpapierinstituten - Die...more

Cadwalader, Wickersham & Taft LLP

One and Done: Lending for the Full Fund Lifecycle January 12, 2024 - Building in Flexibility in Credit Facilities

As more subline lenders are beginning to cover asset based lending, banks are keen to create streamlined template documentation with the flexibility to accommodate the borrowing needs of their clients throughout a fund’s...more

A&O Shearman

Search for scale and specialist expertise point to increased dealmaking among asset managers

A&O Shearman on

Fundraising challenges, higher financing costs, market volatility and an ever-tighter regulatory environment are upping the pressure for M&A among asset managers. Those drivers, however, apply differently depending on which...more

Latham & Watkins LLP

Hybrid Facilities: The Promise, the Reality and the Hope

Latham & Watkins LLP on

Have hybrid facilities evolved from a niche product into a full-fledged market? This article considers the features of subscription facilities, NAV facilities and hybrid facilities and explores why hybrid facilities have...more

A&O Shearman

Regulatory monitoring Newsletter - August 2023

A&O Shearman on

Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language. In addition, we prepare an overview of articles and court decisions published in...more

A&O Shearman

Regulatory monitoring: EU Version - June 2023

A&O Shearman on

The Council of the EU has announced that it has reached provisional political agreement with the EP on the proposed Directive amending CRD IV as regards supervisory powers, sanctions, third-country branches and ESG risks (CRD...more

A&O Shearman

Regulatory monitoring - June 2023

A&O Shearman on

ECB in focus is our blog dedicated to the banking supervisory activities of the European Central Bank (ECB). We report on key developments in European banking regulation led by the ECB as part of the Single Supervisory...more

Seward & Kissel LLP

[Hybrid Event] S&K Blockchain Symposium: Navigating the Storm - May 4th, New York, NY

Seward & Kissel LLP on

Please join Seward and Kissel's Blockchain & Cryptocurrency Group on Thursday, May 4, 2023 for the S&K Blockchain Symposium: Navigating the Storm. The event will feature multiple panels, with industry leaders who will...more

Dechert LLP

Sometimes, It Really Is a Duck: What If Things Are About to Go Bad?

Dechert LLP on

Conspiracy theory fans, tin-foil hat wearers everywhere, Nostradamus wannabes, the broadly unhinged and, of course, our professional purveyors of doom and gloom roosting on evening cable news see patterns where there are...more

A&O Shearman

Key Regulatory Topics: Weekly Update 24 - 30 Mar 2023

A&O Shearman on

Amongst the updates this week, the Council of the EU published a table comparing the initial position of the Commission, and the negotiating positions of the Council and the EP on the proposal for a Directive amending the...more

Nutter McClennen & Fish LLP

Nutter Bank Report: December 2022

The Federal Reserve has adopted a final rule that provides benchmark replacement rates based on SOFR (Secured Overnight Financing Rate) for contracts governed by U.S. law that reference the overnight and one-, three-, six-,...more

McDermott Will & Emery

International News Spotlight on Private Equity and Private Wealth with Merrick White

With traditional financers heavily influenced by public opinion and political influence, restrictions on their lending to the hydrocarbon industry are likely to remain. So where will the funding for much needed investment in...more

Goodwin

SEC Proposes New Round of Money Market Fund Reforms

Goodwin on

In This Issue. The U.S. Securities and Exchange Commission (SEC) voted to propose money market fund reforms; the SEC also proposed amendments to Rule 10b5-1 trading plans and to modernize and improve share repurchase...more

Nutter McClennen & Fish LLP

Nutter Bank Report: November 2021

Federal Banking Agencies Publish Policy Road Map for Crypto-Asset Activities - The federal banking agencies have issued a joint statement summarizing their interagency “policy sprints” focused on crypto-asset activities...more

A&O Shearman

Regulatory Monitoring - relevant developments regarding German and European regulatory law (UPDATED)

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Our monthly regulatory newsletter monitors all relevant developments regarding German and European regulatory law in English language. ...more

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