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4 Jan 2017, 8:47 pm
Tiffany Quach As we previously reported, in December 2016 the New York Department of Financial Services (the “DFS”) announced that it was revising its proposed regulation that would require banks, insurance companies and other financial services institutions regulated by the DFS to adopt broad cybersecurity protections (the “Original Proposal”). [read post]
6 Nov 2014, 11:08 am
On October 9, 2014, Puerto Rico’s Office of the Commissioner of Financial Institutions (OCFI) has settled its claims with UBS Financial Services Incorporated of Puerto Rico (UBS Puerto Rico) over UBS’s sale of closed-end mutual funds in Puerto Rico. [read post]
17 Jul 2012, 12:15 pm
Information Security – Institutions should incorporate cloud computing services in existing information security policies, standards, and practices and ensure that data is protected and access to data is properly restricted. [read post]
17 Jul 2012, 12:15 pm
Information Security – Institutions should incorporate cloud computing services in existing information security policies, standards, and practices and ensure that data is protected and access to data is properly restricted. [read post]
8 Feb 2022, 4:39 am
The ESAs note that with digitalisation, financial institutions increasingly rely on third-party providers for the provision of services through outsourcing and other arrangements, which creates specific supervisory challenges. [read post]
5 Nov 2019, 3:15 am
Philip Woodfield, Rachel Harrison and Elizabeth Pouget, who work within the financial services disputes team at CMS, comment on the decision handed down by the UK Supreme Court last week in the matter of Singularis Holdings Ltd (In Official Liquidation) (A Company Incorporated in the Cayman Islands) v Daiwa Capital Markets Europe Ltd [2019] UKSC 50: In this leading case on a financial institution’s Quincecare duty of care to its customer,… [read post]
28 Jun 2017, 7:36 am
Authorities should determine if current oversight frameworks for important third-party service providers to financial institutions are appropriate; mitigating cyber risks. [read post]
20 Jun 2018, 9:30 pm
The complexity of economic systems and the central role financial institutions play in them make the margin of error during periods of financial tumult exceptionally narrow. [read post]
6 Dec 2014, 6:06 am
The 2014 Principles also incorporate corporate governance developments in the financial services industry since the 2010 Principles, including the Financial Stability Board’s 2013 series of peer reviews and resulting peer review recommendations. [read post]
5 Aug 2009, 9:48 am
The final version of the bill incorporates amendments subsequent to its approval by the House Financial Services Committee, with the final version clarifying that the section regarding enhanced compensation structure reporting to reduce "perverse incentives" shall not apply to covered financial institutions with assets of less than $1 billion. [read post]
25 Oct 2016, 7:54 am
(As noted above, Director Cordray, in his remarks, stated that the CFPB is concerned by reports that some financial institutions are looking for ways to restrict third-party access to financial data. [read post]
10 Nov 2020, 8:55 pm
The Government is announcing the UK’s intention to mandate climate disclosures by large companies and financial institutions across the UK economy, by 2025. [read post]
10 Mar 2008, 7:52 am
Financial Services Authority. [read post]
19 Jun 2021, 2:47 pm
First it would substantially affect (or ought to affect) the way that financial services are priced. [read post]
31 May 2009, 12:28 pm
Tax News.com reports that financial institutions in the United Kingdom say they will stop accepting American clients if the U.S. approves President Obama’s planned changes in the reporting and withholding tax rules: Banks and wealth managers are warning that it will no longer be cost effective for them to service US clients if tough new reporting rules, part of the Obama administration's intended crackdown on international tax avoidance, are… [read post]
8 Oct 2013, 8:26 am
When considered in conjunction with OFAC’s recent enforcement and $750,000 fine against a Turkish trading company for processing funds through U.S. financial institutions for the benefit of the government of Iran, it is clear that the U.S. government intends to continue vigorous enforcement of the OFAC sanctions in the financial services industry in the United States and abroad. [read post]
29 Aug 2016, 1:02 pm
However, “customers” are only those consumers (individuals who obtain or have obtained a financial product or service from the financial institution) with a continuing relationship with a financial institution that provides a financial product or service to be used primarily for personal, family, or household purposes. [read post]
25 Mar 2020, 8:14 pm
Introduction The Hong Kong Monetary Authority has published a consultation paper (the Consultation) on rules relating to contractual stays on termination rights in certain financial contracts (Stay Rules) for authorized institutions (AIs) under the Financial Institutions (Resolution) Ordinance (FIRO). [read post]
16 Jan 2013, 12:36 am
Since the beginning of 2007, approximately 467 financial institutions have failed. [read post]
3 Mar 2020, 11:54 am
Consumer Financial Protection Act: The Consumer Financial Protection Act (“CFPA”), which may be enforced by the CFPB and state attorneys general, prohibits unfair, deceptive, or abusive acts or practices by those who offer financial products or services to consumers. [read post]
