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5 Aug 2015, 9:03 am
Third, the bank challenged the constitutionality of the Financial Stability Oversight Council, which was created by the Dodd-Frank Act with the authority to promulgate additional regulations governing financial companies deemed “too big to fail. [read post]
22 May 2012, 12:19 pm
In the wake of the JP Morgan trading loss and the ongoing efforts to complete regulations implementing the Dodd-Frank derivatives and Volcker regulations, and their international harmonization, the Senate Banking Committee questioned the Chairs of the SEC and CFTC. [read post]
5 Apr 2011, 7:47 am
While the hedge fund industry agrees that $50 billion in assets is a reasonable threshold for determining when a hedge fund or other non-bank financial company should be deemed systemically significant under Dodd-Frank, it is important that the threshold be adjusted over time to account for the effects of inflation and the growth of capital markets. [read post]
26 Feb 2023, 10:14 am
Once the deal was done, the bank said it ran a test marketing campaign to a segment of Frank’s customers. [read post]
16 Jan 2012, 10:17 am
The Financial Crimes Enforcement Network (“FinCEN”) recently assessed the maximum possible civil penalty against a former bank official in California, Frank Mendoza, who had intentionally disclosed the existence of a Suspicious Activity Report (a “SAR”) to the subject person of the SAR. [read post]
11 Nov 2015, 10:43 am
Circuit ruled that the state AGs did not have standing to challenge Dodd-Frank’s order liquidation authority and their claim was not ripe. [read post]
30 Jan 2012, 12:07 pm
In a deposition, Rothstein testified that he wouldn’t have been able to conduct his scheme without the help of TD Bank management, such as former bank vice president Frank Spinosa, who Rothstein claims to have paid $50,000 to falsify account balances. [read post]
19 Jul 2018, 2:47 pm
This morning, the Senate Banking Committee held a hearing on President Trump’s nomination of Kathy Kraninger to serve as CFPB Director. [read post]
19 Dec 2018, 12:22 pm
Dodd-Frank imposed a requirement that all bank holding companies with $50 billion or more must conduct semi-annual company-run stress tests. [read post]
23 Sep 2014, 1:10 pm
Nat’l Australia Bank Ltd., 561 U.S. 247 (2010), in concluding that the Dodd-Frank Act was not intended to apply extraterritorially. [read post]
9 Apr 2014, 6:00 am
But the recently enacted Dodd-Frank Act introduced a new strain of banking-industry supervision: regulation by hypothetical. [read post]
26 Jul 2010, 12:05 pm
Preemption: Dodd-Frank establishes a new preemption standard for national banks and federal thrifts. [read post]
19 Jul 2012, 6:13 am
It acted pursuant to Section 1024 of Dodd-Frank which grants the CFPB the authority to supervise non-bank covered persons for compliance with Federal consumer financial laws. [read post]
8 Aug 2012, 5:21 am
Section 619 of the Dodd-Frank Act, popularly known as the Volcker Rule, prohibits U.S. bank holding companies and their affiliates from engaging in proprietary trading and from sponsoring hedge funds and private equity funds. [read post]
14 Oct 2011, 4:56 pm
Nan Hayworth (R-NY), H.R. 1838, would repeal Section 716 of Dodd-Frank, otherwise known as the swap push out provision, which requires banks to separate and segregate portions of their derivative businesses. [read post]
2 Apr 2012, 3:00 pm
HR 2779 would exempt inter-affiliate swaps from the Dodd-Frank definition of swap. [read post]
27 Jan 2014, 2:32 pm
Schouten More than three years following the passage of the Dodd-Frank Act, and intense inter-agency negotiations, the federal financial regulatory agencies collectively adopted the final version of the “Volcker Rule,” or “Rule”—which imposes new and potentially severe limitations on domestic and foreign banking entities’ activities in regard to proprietary trading and investments in “covered funds. [read post]
15 Jul 2010, 12:56 pm
That meant an out-of-state bank had to first acquire an existing in-state bank in order to operate in Iowa. [read post]
30 May 2018, 7:35 am
” Sources: Economic Growth, Regulatory Relief, and Consumer Protection Act Cleary Gottlieb Discusses New Law Revising Dodd-Frank Act by Derek M. [read post]
26 Dec 2010, 11:22 am
Homeowners may select the bank with which they have a credit card or a checking account, he noted, but they have no say in who services their mortgage.In fact, community banks and credit unions have been reluctant to sell the mortgages that they originate to “private-label securitizers” for fear that the mortgages will be serviced by an affiliate of a bank, and the servicer will use that relationship to cross market other banking services to the… [read post]
