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13 Apr 2016, 4:58 pm
Bankruptcy Code, the statutory standard established in the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
12 Apr 2016, 3:50 pm
Subject to this cautionary proviso, the following are some of the activities that the Rule identifies as activities that might fall outside the Rule’s covered investment activities in the manner required by the Rule: “Education” as defined and provided in accordance with the Rule; “General communications that a reasonable person would not view as an investment recommendation;” Simply making available a platform of investment alternatives without… [read post]
12 Apr 2016, 3:50 pm
Subject to this cautionary proviso, the following are some of the activities that the Rule identifies as activities that might fall outside the Rule’s covered investment activities in the manner required by the Rule: “Education” as defined and provided in accordance with the Rule; “General communications that a reasonable person would not view as an investment recommendation;” Simply making available a platform of investment alternatives without… [read post]
8 Apr 2016, 4:00 am
Mishkin Much of Director Cordray’s testimony in his appearance before the Senate Banking Committee yesterday consisted of his predictable defense of various CFPB positions. [read post]
7 Apr 2016, 8:04 pm
Written Testimony of CFPB Director Richard Cordray Before the Senate Committee on Banking, Housing, and Urban Affairs By Richard Cordray, April 7, 2016. [read post]
7 Apr 2016, 1:49 pm
Under the authority of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank), the Consumer Financial Protection Bureau (CFPB) was provided with rule-making authority, as well as the supervision for and enforcement of compliance under the EOCA. [read post]
5 Apr 2016, 8:53 am
Avoid probate and court disaster Frank Pipitone tells a gut wrenching story of a DIY bankruptcy involving a DIY will substitute that will likely cost the elder her home. [read post]
4 Apr 2016, 12:56 pm
The FSOC has designated just four non-banks as SIFIs, but MetLife was the only one to file a lawsuit protesting it. [read post]
4 Apr 2016, 5:00 am
This provision would appear to be an attempt to override Section 85 of the National Bank Act, which allows a national bank to make loans to borrowers at the rate allowed by the laws of the state where the bank is located. [read post]
1 Apr 2016, 6:08 am
Dudley, Federal Reserve Bank of New York, on Tuesday, March 29, 2016 Tags: Banks, Compliance & ethics, Federal Reserve, Financial Crisis, Financial institutions, Financial Regulation, Liquidity,Oversight, Risk management, Risk oversight, SIFIs, Stress tests, Systemic risk Rethinking Corporate Governance for a Bondholder Financed, Systemically Risky World Posted by Steven L. [read post]
1 Apr 2016, 6:08 am
Dudley, Federal Reserve Bank of New York, on Tuesday, March 29, 2016 Tags: Banks, Compliance & ethics, Federal Reserve, Financial Crisis, Financial institutions, Financial Regulation, Liquidity,Oversight, Risk management, Risk oversight, SIFIs, Stress tests, Systemic risk Rethinking Corporate Governance for a Bondholder Financed, Systemically Risky World Posted by Steven L. [read post]
1 Apr 2016, 6:00 am
Valeant may get bank waivers but risks default with SEC and NYSE by Francine McKenna in MarketWatch Valeant Pharmaceuticals International Inc. may get a waiver from its bank lenders to file its Form 10-K annual report and first-quarter report later than required. [read post]
30 Mar 2016, 4:13 pm
CLS Bank, Garfum demanded that the owners of Bytephoto, Ruth and Steve Taylor, pay it $50,000. [read post]
25 Mar 2016, 1:14 pm
The SEC obtained a court order to freeze the assets of Frank Mazzola and his wife, a relief defendant, and ordering the appointment of an independent monitor over Saddle River Advisors, SRA Management, the SRA Funds, and other affiliated entities. [read post]
25 Mar 2016, 6:00 am
Davy, Sullivan & Cromwell LLP, on Sunday, March 20, 2016 Tags: Banks, Bitcoin, BSA/AML, Compliance & ethics, Corporate crime, Cybersecurity, Director liability, DOJ, Financial institutions, Financial Regulation, Foreign banks, Misconduct, Risk management, Treasury Department Single-Counterparty Credit Limits Rule Posted by Dan Ryan, PricewaterhouseCoopers LLP, on Monday, March 21, 2016 Tags: Banks, Basel Committee, Capital requirements, Credit exposure, Credit… [read post]
24 Mar 2016, 9:37 am
In 2014, the then FERC Director of Enforcement told the Senate Banking Committee that a manipulator can trade at a loss in one market to profit in another market. [read post]
22 Mar 2016, 1:11 pm
” During the joint press conference, the two leaders traded criticism of each other’s countries in a frank and somewhat awkward exchange. [read post]
18 Mar 2016, 6:21 am
The Dodd-Frank Act gives CFPB supervisory authority over providers of consumer financial products or services. [read post]
18 Mar 2016, 6:09 am
Asker, Fried, Frank, Harris, Shriver & Jacobson LLP, on Friday, March 11, 2016 Tags: Acquisitions, Antitrust, Disclosure, DOJ, FTC, Hart-Scott-Rodino Act, Mergers & acquisitions, Securities enforcement, Securities Regulation Deposit Calculations on Demand Posted by Dan Ryan, PricewaterhouseCoopers LLP, on Saturday, March 12, 2016 Tags: Banks, Books and records, Deposit insurance, Failed banks, FDIC, Financial Crisis, Financial institutions, Recovery &… [read post]
17 Mar 2016, 4:51 pm
LESSON #5 – BY LAW, BANKING REGULATORS ARE “SUPER-PLAINTIFFS” Banking regulators enjoy immense advantages in claims against directors and officers. [read post]
