News & Analysis as of

Recovery Plans FinTech

Mayer Brown

Interview with Jason Cave, Former Regulator Turned Industry Adviser

Mayer Brown on

Matt Bisanz interviews former financial regulator Jason Cave to discuss developments in resolution and recovery planning, as well as trends in third-party risk management....more

A&O Shearman

Key Regulatory Topics: Weekly Update 23-29 Feb 2024

A&O Shearman on

Amongst the broad range of updates this week, at international level, the FSB published its thematic peer review on MMF Reforms and the BCBS published the outcomes of its meeting held on 28 and 29 February, including that it...more

Robins Kaplan LLP

Financial Daily Dose 10.8.2020 | Top Story: Feds fine Citi $400M over “Longstanding” Governance Failures

Robins Kaplan LLP on

Federal regulators—including the Federal Reserve and the OCC—have fined Citigroup $400 million over “longstanding” failures in the areas of risk management, data governance, and internal controls. In addition to the fine, the...more

Robins Kaplan LLP

Financial Daily Dose 10.6.2020 | Top Story: Cybersecurity Pioneer John McAfee Arrested, Accused of Tax Evasion Over Crypto...

Robins Kaplan LLP on

The SEC has sued “cybersecurity pioneer John McAfee” for “promoting the sale of cryptocurrencies without disclosing that he was being paid to do so.” McAfee allegedly recommended “at least seven initial coin offerings to his...more

Robins Kaplan LLP

Financial Daily Dose 7.16.2020 | Top Story: Crypto Scheme Hacks Big-name Twitter Users

Robins Kaplan LLP on

A Twitter-based crypto scam managed to hack some high-profile accounts Wednesday. VERY high profile...more

Polsinelli

Empire State of Mind - New York’s Department of Financial Services Launches Outreach Program for FinTech

Polsinelli on

New York DFS has launched DFS Next, a new platform for engaging entrepreneurs in financial services and promoting innovation. One of the initial efforts that DFS Next will offer is FastForward, a program to support digital...more

A&O Shearman

Financial Regulatory Developments Focus - November 2018 #5

A&O Shearman on

In this week’s newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

A&O Shearman

Financial Regulatory Developments Focus - November 2018 #2

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

A&O Shearman

Financial Regulatory Developments Focus - November 2018

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

A&O Shearman

Financial Regulatory Developments Focus - September 2018 #3

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

A&O Shearman

Financial Regulatory Developments Focus - August 2018 #3

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

A&O Shearman

Financial Regulatory Developments Focus - July 2018 #4

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

A&O Shearman

Financial Regulatory Developments Focus - July 2018 #2

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

A&O Shearman

Financial Regulatory Developments Focus - June 2018 #3

A&O Shearman on

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Topics on SEC, Broker/Dealer and UK/EU/Brexit Developments

SEC/CORPORATE - SEC Guidance Expanding Exclusions for Non-GAAP Information - The Securities and Exchange Commission’s Division of Corporation Finance issued two new Compliance and Disclosure Interpretations (C&DI),...more

Goodwin

Financial Services Weekly News - October 2016

Goodwin on

Editor's Note - Regulation and Innovation, Part IV. In the April 6, June 22 and September 14 editions of the Roundup, we discussed the approaches of various banking regulators generally, and the Office of the...more

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