News & Analysis as of

Supervision

Investment Funds Update Europe - Legal and regulatory updates for the funds industry from the key asset management centres and...

by Dechert LLP on

FCA Publishes a Closet Tracking Fund Webpage - The FCA published a new webpage on 14 March 2018, outlining its recent work on closet tracking funds. The FCA considers that closet tracking funds look like, and charge...more

Basel Committee on Banking Supervision Consults on Amending Pillar 3 Disclosure Requirements

by Shearman & Sterling LLP on

The Basel Committee on Banking Supervision has published a consultation document on a technical amendment to the Pillar 3 disclosure requirements and the regulatory treatment of accounting provisions...more

UK Regulator Consults on Mission Approach Documents for Supervision and Enforcement

by Shearman & Sterling LLP on

The U.K. Financial Conduct Authority has published two consultations, seeking feedback on draft documents setting out its regulatory approach to supervision and enforcement. The two documents, once finalized, will form part...more

US Federal Reserve Board Vice Chairman for Supervision Discusses Financial Regulation and Cybersecurity

by Shearman & Sterling LLP on

Randal Quarles, U.S. Board of Governors of the Federal Reserve System Vice Chairman for Supervision, provided brief remarks at the Financial Services Roundtable 2018 Spring Conference. Vice Chairman Quarles noted the...more

CFPB Issues Requests for Information Regarding Its Enforcement and Supervision Processes

by Weiner Brodsky Kider PC on

The CFPB has issued two Requests for Information, seeking public comment on its enforcement and supervision processes. The Requests for Information are part of a larger call for feedback on the effectiveness of several...more

CFPB seeks comment on its supervision program

by Ballard Spahr LLP on

The CFPB has issued a request for information that seeks comment on its supervision program. Comments on the RFI will be due no later than 90 days after it is published in the Federal Register, which the CFPB expects to...more

Chris Lazarini Analyzes Mandatory Arbitration Rule under FINRA Rule 12200

by Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini analyzed a case in which defendant Wilson-Davis, a securities firm, sought to enjoin an arbitration brought against it alleging that the firm's failure to supervise its agent caused...more

Federal Reserve Vice Chairman Quarles Speaks on Improving Effectiveness of Post-Crisis Regulation

by Shearman & Sterling LLP on

Vice Chairman of the US Board of Governors of the Federal Reserve System, Randal Quarles, delivered remarks at the American Bar Association Banking Law Committee’s annual meeting. In his remarks, Mr. Quarles discussed his...more

Federal Reserve Board Proposes Guidance Clarifying Risk Management Supervisory Expectations for Large Financial Institutions

by Shearman & Sterling LLP on

The US Board of Governors of the Federal Reserve System issued proposed guidance for comment that would clarify supervisory expectations related to risk management for large financial institutions. This proposed guidance...more

UK Prudential Regulation Authority Confirms its Revised Expectations on Recovery Planning

by Shearman & Sterling LLP on

Following its consultation earlier this year on its expectations on recovery planning, the Prudential Regulation Authority has published a Policy Statement which sets out the PRA's final revised expectations on the content of...more

US Federal Reserve Bank of New York Executive Vice President Discusses the Role of Bank Supervisors in the Culture Reform Dialogue

by Shearman & Sterling LLP on

US FRB of NY Executive VP Kevin Stiroh spoke at a culture roundtable session regarding misconduct, risk, culture, and supervision. The remarks were based on a white paper that was published the same day. Mr. Stiroh’s remarks...more

A Return to Clarity: Traditional Joint Employer Test Reinstated

by Proskauer - Labor Relations on

As we noted last week, one of the more controversial Obama-Board rulings expanding joint employer liability was overruled this past week. In a widely-predicted 3-2 decision (Miscimarra, Kaplan, Emanuel), the NLRB,...more

SEC's Office of Compliance Inspections and Examinations Issues Risk Alert for Municipal Advisors

by Bracewell LLP on

On November 7, 2017, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) issued a risk alert that described the staff’s observations from over 110 examinations...more

Summary Of Post-Trial Briefs Filed In Grubhub Misclassification Case

by Fisher Phillips on

The parties in the Grubhub misclassification case are back in court on Monday, October 30, delivering their final closing arguments to the judge. We’ve written about the trial extensively. To sum it up, though: a former...more

European Commission Legislative Proposals for Enhanced Powers for European Supervisory Authorities and the European Systemic Risk...

by Shearman & Sterling LLP on

The European Commission has published legislative proposals designed to strengthen and further integrate the supervisory framework of the European Union. The proposals build on contributions to the Commission's public...more

Sixth Circuit Court Agrees with Home Healthcare Employer’s Termination of Nurse

by Seyfarth Shaw LLP on

Seyfarth Synopsis: In this case a home-care nurse complained about the quality of care her patient received from the patient’s family members. Subsequent review and inspections by the company found some “serious problems”...more

Tennessee Department of Health Grants COPA Request for Health Care Alliance

On September 19, 2017, the Tennessee Department of Health (“TDOH”) granted the request for a Certificate of Public Advantage (“COPA”) from Wellmont Health System and Mountain States Health Alliance. This approval paves the...more

Corporate and Financial Weekly Digest - Volume XII, Issue 34

SEC/CORPORATE - NYSE Issues Proposed Amendment to Limit Issuance of Material News After Market Close - On August 18, the New York Stock Exchange (NYSE) issued a proposed amendment to Section 202.06 of the NYSE Listed...more

Federal Reserve Board Announces Proposed Changes to Bank Board Expectations

by Dechert LLP on

The Board of Governors of the Federal Reserve (FRB) on August 3, 2017 issued a notice inviting comment regarding Proposed Guidance on Supervisory Expectations for Boards of Directors (Proposal). The Proposal applies to boards...more

Medicare Proposes Continued Relief for Critical Access and Rural Hospitals Through 2-Year Moratorium on Direct Supervision...

by Dorsey & Whitney LLP on

On July 13, 2017, CMS released a proposed rule as part of its 2018 Outpatient Prospective Payment System proposals that is aimed at helping to reduce some of the burdens rural hospitals experience in recruiting physicians....more

Corporate and Financial Weekly Digest - Volume XII, Issue 27

BROKER-DEALER - Proposed Rule Change Relating To Revisions To the Definition of Non-public Arbitrator - On July 11, the Financial Industry Regulatory Authority filed a proposed rule amendment to change the definition of...more

ESMA issues opinion on supervisory convergence

by Ropes & Gray LLP on

The European Securities and Markets Authority (“ESMA”) released an opinion today on supervisory convergence in the context of the UK withdrawing from the European Union (“EU”). The opinion is addressed to national regulators,...more

Nutter Bank Report, May 2017

Supreme Court Rules That Cities Can Sue Lenders Under the Fair Housing Act - The U.S. Supreme Court has issued a decision that reaffirms the standing of municipalities to sue lenders, including banks, for certain...more

Subrogation Against Parents for Actions of Their Children

by Cozen O'Connor on

Can parents be held responsible for property damage caused by their children? Almost every state in the country has adopted some form of a parental liability statute, which forms the legal basis for holding parents...more

European Banking Authority Proposals for Designation and Supervision of Significant-Plus Branches

by Shearman & Sterling LLP on

The European Banking Authority published for consultation draft Guidelines on supervision of significant branches. The proposed Guidelines set out how the consolidating supervisor, the home supervisor and the host supervisor...more

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