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21 Apr 2017, 6:25 am
Dallas, University of San Diego, on Wednesday, April 19, 2017 Tags: Behavioral finance, Boards of Directors, Compensation disclosure, Compensation ratios, Corporate culture, Dodd-Frank Act, Dodd-Frank s.953, Executive Compensation, Management, Managerial style, Say on pay, SEC, Securities regulation, Shareholder value Do Staggered Boards Affect Firm Value? [read post]
19 Apr 2017, 10:55 am
” According to the CFPB, it created the exemption because, in its experience, “communications from these entities have at times been sensitive, and the CFPB believes that these entities are likely to provide more frank and robust feedback if communications are not subject to the disclosure requirements of the Policy. [read post]
19 Apr 2017, 8:50 am
Frank Abagnale would have used different cons today. [read post]
17 Apr 2017, 1:26 pm
(Pix © Larry Catá Backer 2017)I have just posted a preliminary draft of an article that is currently entitled The Corporate Social Responsibilities of Financial Institutions for the Conduct of their Borrowers: The View from International Law and Standards. [read post]
17 Apr 2017, 9:43 am
Madden held that a non-bank transferee of a loan from a national bank loses the ability to charge the same interest rate that the national bank charged on the loan under Section 85 of the National Bank Act. [read post]
16 Apr 2017, 5:56 pm
National Australia Bank, U.S. courts held that the U.S. securities laws could be applied extraterritorially if there was sufficient fraudulent conduct or were sufficient effects from that conduct in the U.S. [read post]
14 Apr 2017, 5:58 am
Costa, Eastman Chemical Co. and Business Roundtable, on Tuesday, April 11, 2017 Tags: Accountability, Business Roundtable, Disclosure, Dodd-Frank Act, Donald Trump, Financial regulation, Management, Market efficiency, Public interest, SEC rulemaking, Securities regulation, Taxation, Transparency Equity Suppliers in Bank Regulation Posted by Yesha Yadav, Vanderbilt Law School, on Wednesday, April 12, 2017 Tags: Asset management, Bailouts, Banks, Blockholders, Capital… [read post]
14 Apr 2017, 3:01 am
“The real-world impact of Dodd-Frank, stress tests and other regs” [M&T Bank slideshow, American Banker] “Six feet of new mortgage regulations help explain slower housing market” [Ira Stoll] Will Trump administration allow banking for cannabis-related businesses? [read post]
13 Apr 2017, 2:47 pm
Thus, banks and other regulated entities may want to take note of the section of the report describing the CFPB’s efforts to increase vendor diversity. [read post]
13 Apr 2017, 8:13 am
” Sections 1024(e) and 1025(d) of Dodd-Frank authorize the CFPB to supervise a service provider to a bank or non-bank already supervised by the CFPB – namely, depository institutions with more than $10 billion in assets and the following types of non-banks: Mortgage originators, brokers or servicers; Payday lenders; Private student lenders; and A “larger participant of a market for other consumer financial products or services” as defined… [read post]
12 Apr 2017, 6:04 am
By maintaining deeper equity buffers, banks are better positioned to absorb losses and to prevent the spread of contagion through the financial sector. [1] Under the Dodd-Frank Act’s Orderly Liquidation Authority, shareholders of a failing bank must pay for its risk-taking by seeing the value of their equity be extinguished to meet the bank’s obligations to short-term and secured creditors. [2] In this way, equity reserves can help stem the spread… [read post]
11 Apr 2017, 5:37 pm
Second, despite the magnitude of the bank’s scandal, the circumstances involved are not of the type that would trigger the executive compensation clawback provisions of the Sarbanes-Oxley Act or of the Dodd-Frank Act, both of which provide for compensation clawback only in the event of a restatement. [read post]
7 Apr 2017, 10:42 am
SEC Increases Crowdfunding Limits – pursuant to the requirements under the Dodd-Frank Act that the SEC increase the limits proscribed in the crowdfunding regulations, the SEC increased certain limits under those regulations. [read post]
7 Apr 2017, 9:17 am
He commented that the CFPB had engaged in discretionary rulemaking but had not completed the Section 1071 rulemaking mandated by Dodd-Frank. [read post]
7 Apr 2017, 6:00 am
Dudley, Federal Reserve Bank of New York, on Tuesday, April 4, 2017 Tags: Accountability, Banker bonuses, Banks, Compliance & ethics, Corporate culture, Financial crisis, Financial institutions, Firm performance, Incentives, Misconduct, Oversight, Reputation, Risk-taking Balancing Concessions to Activists Against Responsiveness to the Broader Shareholder Base Posted by Ethan A. [read post]
3 Apr 2017, 6:39 am
The Dodd Frank Act has been the subject of numerous criticisms. [read post]
31 Mar 2017, 6:03 am
De Ghenghi and Margaret Tahyar, Davis Polk & Wardwell LLP, on Tuesday, March 28, 2017 Tags: Banks, Capital markets, CHOICE Act, Derivatives, Dodd-Frank Act, Donald Trump, FDIC, FHCs, Financial institutions, Financial reform, Financial regulation, Investment banking, Swaps The “Why” Question in Investment Theory Posted by Saker Nusseibeh, Hermes Investment Management, on Tuesday, March 28, 2017 Tags: Accountability, Capital allocation, Capital markets,… [read post]
30 Mar 2017, 1:15 pm
In the report’s section on the CFPB’s supervision of debt collection activities engaged in by banks and nonbanks subject to CFPB supervision under Dodd-Frank and nonbanks that qualify as “larger participants,” the CFPB described the following FDCPA violations found by its examiners: Using unfair acts or practices to collect a debt by selling debts that, as a result of coding errors, did not properly reflect that the account was in bankruptcy, the debt seller… [read post]
30 Mar 2017, 1:15 pm
In the report’s section on the CFPB’s supervision of debt collection activities engaged in by banks and nonbanks subject to CFPB supervision under Dodd-Frank and nonbanks that qualify as “larger participants,” the CFPB described the following FDCPA violations found by its examiners: Using unfair acts or practices to collect a debt by selling debts that, as a result of coding errors, did not properly reflect that the account was in bankruptcy, the debt seller… [read post]
30 Mar 2017, 8:01 am
Writing regulations and issuing interpretations While rulemaking authority for most consumer protection and compliance statutes was transferred to the CFPB by the Dodd-Frank Act, the OCC retains authority to write rules for statutes such as the Community Reinvestment Act and flood insurance statutes, and to issue rules and interpretations regarding the powers of national banks, such as pursuant to the National Bank Act. [read post]
