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7 Aug 2017, 1:30 pm
The Notice, to be published in the Federal Register, solicits public input on whether certain aspects of the implementing regulation should be revised to better accomplish the purposes of section 619 while decreasing the compliance burden on banking entities and fostering economic growth. [read post]
5 Aug 2017, 11:50 am
Mahmoud v De Moss Owners Ass'n Inc., No. 15-20618 (5th Cir. [read post]
4 Aug 2017, 6:00 am
Kolasinski, Texas A&M University, on Wednesday, August 2, 2017 Tags: Banks, Financial crisis, Financial institutions, Incentives, Management, Managerial style, Risk-taking, Short-termism Delaware Court of Chancery Holds Controller Transaction Satisfies Entire Fairness and Issues Appraisal Award Below Deal Price Posted by William Savitt and Ryan A. [read post]
3 Aug 2017, 10:58 am
(credit: Frank Augstein / AP) Marcus Hutchins, the 23-year-old security professional who accidentally stopped the spread of the virulent WCry ransomware worm in May, has been named in a federal indictment that alleges he was part of a conspiracy that created and distributed a piece of unrelated malware that steals banking credentials from unsuspecting computer users. [read post]
1 Aug 2017, 6:57 am
Despite more recent changes to the Commission’s waiver process, Waters said not enough had been done to eliminate defects in that process, which Waters said had been highlighted in Commissioner Kara Stein’s 2014 dissent from a waiver granted to Royal Bank of Scotland Group, plc.Waiver procedure. [read post]
31 Jul 2017, 7:36 am
” The SEC made the award even though the claimant did not comply with Exchange Act Rule 21F-9(d), relating to submission of a signed Form TCR and submissions after the Dodd-Frank Act was enacted but before the effective date of SEC whistleblower rules. [read post]
27 Jul 2017, 9:45 am
Will U2 play The Fly when the iconic band comes to Minneapolis to play at the US Bank stadium in September? [read post]
25 Jul 2017, 8:52 am
All the while, the other side of the bank was conducting a foreclosure sale. [read post]
25 Jul 2017, 3:00 am
– A large plurality (43%) oppose efforts to pare back the Dodd-Frank Act. [read post]
22 Jul 2017, 2:22 pm
The Volcker Rule, enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, and its regulations, adopted by five financial regulators in December 2013, generally prohibit banking entities and affiliates from engaging in proprietary trading or sponsoring or acquiring ownership interests in certain private equity funds (“covered funds”). [read post]
21 Jul 2017, 12:58 pm
Section 619, and the implementing regulations, generally do not apply to investments in, or sponsorship of, these foreign excluded funds by a foreign banking entity.However, complexities in the statute and the implementing regulations may result in certain foreign excluded funds becoming subject to regulation under section 619 because of governance arrangements with or investments by a foreign bank. [read post]
21 Jul 2017, 8:35 am
Dodd-Frank Section 1071 amended the ECOA to require financial institutions to collect and maintain certain data in connection with credit applications made by women- or minority-owned businesses and small businesses. [read post]
21 Jul 2017, 6:04 am
Mendelsohn, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Saturday, July 15, 2017 Tags: Anti-corruption, Disgorgement, DOJ, FCPA, Misconduct, SEC, SEC enforcement, Securities enforcement, Supreme Court Balancing the Governance of Financial Institutions Posted by David Min, University of California, Irvine, on Sunday, July 16, 2017 Tags: Agency costs, Banks, Dodd-Frank Act, Failed… [read post]
18 Jul 2017, 2:26 pm
Many consumer financial products like credit cards and bank accounts have arbitration clauses in their contracts that prevent consumers from joining together to sue their bank or financial company for wrongdoing. [read post]
18 Jul 2017, 9:29 am
The arbitration rule was received by the Speaker of the House on July 10 and referred to the Senate Banking Committee on July 13. [read post]
17 Jul 2017, 12:06 pm
Noreika’s request for the publication delay is undoubtedly tied to the timing in the Dodd-Frank Act for an agency that is a member of the Financial Stability Oversight Council (FSOC) to file a petition with the FSOC to set aside a CFPB final regulation. [read post]
14 Jul 2017, 7:29 am
In addition, Acting Comptroller of the Currency Keith Noreika recently raised concerns regarding the effect of the CFPB’s final arbitration rule on the safety and soundness of banks that the OCC regulates, by increasing litigation exposure. [read post]
14 Jul 2017, 7:29 am
In addition, Acting Comptroller of the Currency Keith Noreika recently raised concerns regarding the effect of the CFPB’s final arbitration rule on the safety and soundness of banks that the OCC regulates, by increasing litigation exposure. [read post]
14 Jul 2017, 6:19 am
Reid, Davis Polk & Wardwell LLP, on Friday, July 7, 2017 Tags: Banks, Brexit, Clearing houses, Derivatives, ESMA, EU, Europe, Financial institutions, Financial regulation, International governance, Oversight, Systemic risk, UK How Your Board Can Be Ready for Crisis Posted by Paula Loop, PricewaterhouseCoopers LLP, on Friday, July 7, 2017 Tags: Board monitoring, Boards of… [read post]
13 Jul 2017, 4:30 pm
Noreika’s letter and that the CFPB had “consulted repeatedly” with OCC representatives and other prudential regulators regarding “prudential, market, or systematic objectives administered by such agencies” as required by Section 1022 of the Dodd-Frank Act (DFA). [read post]
