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15 Dec 2010, 7:46 pm
Spencer Bachus is turning out to be as much of a mock-worthy politico as his Democratic counterpart Barney Frank is a glad tiding to ring in this holiday season. [read post]
15 Dec 2010, 2:00 am
Bank, Nat’l Ass’n v. [read post]
14 Dec 2010, 7:27 pm
From across the continent, and a different Orange County (the one in North Carolina), comes an interesting divorce story offering lessons as relevant to the California Coast as they are to the Outer Banks. [read post]
13 Dec 2010, 9:10 am
The CFTC chair wants to push for more transparency about the derivatives clearinghouses, which will have more power under the Dodd-Frank bill. [read post]
12 Dec 2010, 4:09 pm
But I also have a bad, bad feeling about this in the context of Dodd-Frank and future expectations. [read post]
10 Dec 2010, 11:16 am
This financial responsibility fee regime was not included in the Dodd-Frank Act and awaits an appropriate legislative vehicle.The German government has announced plans to introduce a systemic risk-adjusted levy and a new resolution arrangement for banks and banking groups. [read post]
10 Dec 2010, 8:31 am
Goldman Sachs and State Street Bank settled for $550 million and $314 million for misrepresentations to financial services customers. [read post]
SEC and CFTC Receive Funding Increase in House Resolution to Help Them Carry Out Dodd-Frank Mandates
9 Dec 2010, 8:39 am
The House matched the President’s request with a $261 million appropriation for the CFTC.At recent hearings, CFTC Chair Gary Gensler told the Senate Banking Committee that the CFTC requires additional resources to enhance its surveillance program, prevent market disruptions, and implement the Dodd-Frank Act. [read post]
7 Dec 2010, 3:07 pm
Perry replied that if it is a dupe case, it's dealt with by Exchange Act section 20(b).He cautioned that affirming the Fourth Circuit ruling would authorize private securities fraud class actions against every service provider that participates in the drafting of a public company's prospectus and would constitute a frontal assault on the Court's decisions in Central Bank and Stoneridge, where the Court held that service providers may not be sued primarily in private class… [read post]
7 Dec 2010, 5:00 am
Dodd-Frank came up with the concept of “systemically important. [read post]
6 Dec 2010, 1:20 pm
Richard A. [read post]
6 Dec 2010, 5:00 am
I expect to see several more in the “yes” column before July 21, 2011, the registration deadline under Dodd-Frank. [read post]
4 Dec 2010, 7:31 am
A press release heralding the Senate’s action remains available, as of this writing, on the website of the Senate Banking Committee. [read post]
3 Dec 2010, 2:54 pm
H5425.The SEC proposed a three-part definition of “major security-based swap participant” under the Dodd-Frank Act. [read post]
3 Dec 2010, 11:07 am
Kohn explains that the banks are afraid that their own employees will turn to outside attorneys to seek rewards under the Dodd-Frank Act. [read post]
3 Dec 2010, 5:13 am
In particular, the recently passed Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd Frank Act) is certain to produce a large volume of new regulations and reporting burdens[1]. [read post]
3 Dec 2010, 5:00 am
Essentially, it consists of the testimony of two individuals before the Senate Banking Subcommittee on Securities, Insurance and Investment Hearing a year before the enactment of the Dodd-Frank Act and several months before the Dodd-Frank Bill was even introduced into Congress. 5 Important Fraud Investigation Interview Tips by Lindsay Khan in FCPA Compliance and Ethics Blog To conduct an investigation interview, you don’t need to be Sherlock Holmes- but it… [read post]
3 Dec 2010, 12:26 am
Is it Dodd-Frank? [read post]
2 Dec 2010, 9:16 am
Hansen.Salerno, Thomas J.Washington, DC : BeardBooks, c2010.Banks and BankingK1066 .F45 2007International banking regulation / by Carl Felsenfeld.Felsenfeld, Carl.Huntington, N.Y. : Juris Pub., c2007.BiographyE902 .P695 2010The presidency of George W. [read post]
2 Dec 2010, 5:12 am
No Nigerian bank account numbers. [read post]
