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18 Apr 2019, 8:04 pm
Second, the Dodd-Frank Act makes clear that state laws are only preempted by the National Bank Act if the state law “prevents or significantly interferes” the exercise of the powers of the national bank. [read post]
18 Apr 2019, 8:40 am
In the United States, for example, one may witness the Dodd-Frank Wall Street Reform and Consumer Protection Act, which President Obama signed into law on July 21, 2010 (the “Dodd-Frank Act”). [read post]
18 Apr 2019, 8:15 am
Specially Designated Nationals And Blocked Persons List (SDN) Human Readable Lists As part of its enforcement efforts, OFAC publishes a list of individuals and companies owned or controlled by, or acting for or on behalf of, targeted countries. [read post]
17 Apr 2019, 4:49 pm
URL (English Only)In an earlier post I discussed the anticipated announcement by American officials of a new set of sanctions against Cuba and other Caribbean states (here). [read post]
17 Apr 2019, 8:20 am
But the Bureau has promulgated the proposal in response to advice from a Dodd-Frank Act Section 913 study recommending the SEC to create a uniform fiduciary duty standard for investment advisers and broker-dealers—when they provide advice to retail customers—that is consistent with the standard currently applied to investment advisers. [read post]
12 Apr 2019, 12:41 pm
Frank Amodeo pled guilty to conspiracy to defraud the United States for his failure to collect and remit payroll taxes and obstruction of an agency investigation. [read post]
10 Apr 2019, 9:00 am
The case underlines the dangers of complacency and the importance of evidence, even when the point in dispute (has the mark BIG MAC been used for hamburgers) appears a simple one.Contribution to the Art Award – Frank Industries v Nike – Frank Industries’ brave fight against the bigger and badder Nike in securing an interim injunction over Nike’s use of LNDR (and then following up with a win at trial a short while later) won this award.Case of the year… [read post]
10 Apr 2019, 7:08 am
Under Dodd-Frank, the nonbank financial company may contest its designation as a SIFI in US District Court. [read post]
5 Apr 2019, 6:17 am
These include:issuing detailed white papers laying U.S. leadership’s views on the regulation of swaps execution facilities, the effectiveness of the CFTC’s implementation of the Dodd-Frank Act, and cross-border policies. [read post]
1 Apr 2019, 2:47 pm
The whistleblower is said to have provided information that helped the SEC and CTFC pursue action against JPMorgan Securities and JPMorgan Chase Bank. [read post]
1 Apr 2019, 9:28 am
Bank Ltd., 561 U.S. 247 (2010), which limited the SEC’s ability to enforce the federal securities laws to conduct that took place within the United States. [read post]
1 Apr 2019, 5:00 am
The defendants, James Vorley and Cedric Chanu, worked as traders at Deutsche Bank AG. [read post]
29 Mar 2019, 1:24 pm
Frank Amodeo pled guilty to conspiracy to defraud the United States for his failure to collect and remit payroll taxes and obstruction of an agency investigation. [read post]
27 Mar 2019, 12:17 pm
Frank merely delivered it. [read post]
25 Mar 2019, 3:01 am
Supreme Court remands Frank v. [read post]
18 Mar 2019, 12:18 pm
In opposing the petition for certiorari filed by State National Bank of Big Spring (which the Supreme Court denied), the DOJ argued that while it agreed with the bank that the CFPB’s structure is unconstitutional and the proper remedy would be to sever the Dodd-Frank for-cause removal provision, the case was a poor vehicle for deciding the constitutionality issue. [read post]
18 Mar 2019, 10:02 am
It provides that during FY 2109, when the CFPB Director requests a funds transfer from the Fed, the CFPB “shall notify the Committees on Appropriations of the House of Representatives and the Senate, the Committee on Financial Services of the House of Representatives, and the Committee on Banking, Housing, and Urban Affairs of the Senate of such request. [read post]
15 Mar 2019, 2:04 pm
Patrick Ogiony, 35, Buffalo, New York, pleaded guilty today to conspiracy to commit bank fraud. [read post]
15 Mar 2019, 5:00 am
In Tarbert’s view, the Dodd-Frank Title VII derivatives reforms are important and need to be completed. [read post]
14 Mar 2019, 6:41 am
The Dodd-Frank Act, enacted in 2010, transferred rulemaking authority under the GLBA’s privacy provisions to the CFPB for most non-bank financial institutions. [read post]
