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  • Article

    Clean Out The Pipes: Concerns Over SEC Comments, Rules On Transactions

    Private investment in public equity (PIPE) transactions involves a private placement of securities by an already-public company, with the issuer committing to register the securities for resale promptly after the private placement is completed.
    United StatesFinance and Banking
    Hunton Andrews Kurth LLP
    Hunton Andrews Kurth LLP
  • Article

    CME Recognized As Central Counterparty In Hong Kong And Mexico

    CME Group was granted authorization to provide OTC clearing and settlement services, and was designated as a central counterparty, in Hong Kong by the territory's Securities and Futures Commission.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Coller Capital Publishes Its 37th Global LP Survey

    According to the Coller Capital Global Private Equity Barometer, a global survey on private market investors published last week, a third of North American LPs and 52% of APAC LPs believe public...
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Comment Deadline Set For FinCEN Proposal On SARs Sharing

    The comment deadline for the proposal is March 28, 2022.
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Commission Approves An Order Regarding Swap Dealer Registration De Minimis Exception

    On October 13, 2016, the U.S. Commodity Futures Trading Commission extended until December 31, 2018, the $8 billion swap dealer registration de minimis threshold.
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    Comptroller Discusses Efforts To Ease Regulatory Burden On Community Banks

    On August 5, the Comptroller of the OCC addressed efforts to ease the burden of regulation on community national banks and federal savings associations.
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    Consumers Slightly Less Optimistic About Personal Finances And The Economy

    On February 11, the Federal Reserve Bank of New York's Center for Microeconomic Data released the January 2019 Survey of Consumer Expectations
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    Converting Traditional Open-End Funds into ETFs

    The Securities and Exchange Commission (the "SEC") recently published a notice relating to an application for exemptive relief filed by Precidian
    United StatesFinance and Banking
    Ropes & Gray LLP
    Ropes & Gray LLP
  • Article

    CPMI-IOSCO Provide Technical Guidance On Unique Transaction Identifiers

    The "CPMI" and the IOSCO Board provided technical guidance to regulatory authorities on harmonizing the uniform global usage of Unique Transaction Identifiers...
    United StatesFinance and Banking
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Podcast

    Credibly Challenged Podcast Interview With Alec Crawford Founder Of Verapath

    Matt Bisanz interviews Alec Crawford, founder of Verapath, about how financial institutions are identifying and managing risks from artificial intelligence.
    United StatesFinance and Banking
    Mayer Brown
    Mayer Brown
  • Article

    Crystal Century Launches Multi-Asset Liquid Alternative Fund

    The registered, closed-end managed fund will be available to existing private clients via Crystal Century's alternative fund platform, which was previously limited to institutional clients.
    United StatesFinance and Banking
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    CTFC Staff Issues No-Action Relief To Facilitate Prime Brokerage Activities On SEFs

    On March 29, 2019, the CTFC provided relief intended to encourage prime brokers to trade swaps on swap execution facilities by excusing certain pre-trade disclosures.
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CTFC Unanimously Approves Project KISS Rulemakings To Ease Regulatory Burdens

    On March 28, 2019, the CTFC approved final rule amendments that simplify registrants' obligations in regulations governing the segregation of assets held as collateral in uncleared swap transactions...
    United StatesFinance and Banking
    Orrick
    Orrick
  • Article

    CU Lending Trends, MBI Covered At Last Day Of A.C.

    Christopher J. Pippett was featured in the National Association of Federal Credit Unions article, "CU Lending Trends, MBI Covered at Last Day of A.C."
    United StatesFinance and Banking
    Fox Rothschild LLP
    Fox Rothschild LLP
  • Article

    Debt-Financed Distributions From QOF Partnerships

    Islame Hosny (Associate-New Jersey) and William D. Lipkind (Partner-New Jersey) collaborated on "Debt-Financed Distributions from QOF Partnerships," an article that appeared in the June 24, 2019
    United StatesFinance and Banking
    Wilson Elser Moskowitz Edelman & Dicker LLP
    Wilson Elser Moskowitz Edelman & Dicker LLP
  • Article

    Democrats Push For Regulatory Oversight Of Marketplace Lenders

    As reported in Bloomberg, a group of Democratic Senators has issued a letter to Treasury Secretary Jack Lew and SBA Head Maria Contreras-Sweet asking for clarification on the regulatory oversight of marketplace lenders.
    United StatesFinance and Banking
    Reed Smith
    Reed Smith
  • Article

    Director Of Research At The Federal Reserve Bank Of New York Announces Retirement

    On March 7, 2016, James J. McAndrews, executive vice president of the Research and Statistics Group and Director of Research of the Federal Reserve Bank of New York, announced that he will be retiring...
    United StatesFinance and Banking
    A&O Shearman
    A&O Shearman
  • Article

    DOL Fiduciary Rule Affecting Broker Recruitment Activities

    The Labor Department's fiduciary rule, unveiled in April, is affecting the broker recruitment efforts of many large banks.
    United StatesFinance and Banking
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    Equinox Reaches $6.4M Settlement On Charges Of Overcharging, Misleading Investors

    Denver-based alternative fund firm Equinox Fund Management agreed to settle SEC charges that the firm overcharged management fees and misled investors about how it valued certain assets.
    United StatesFinance and Banking
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    European Commission Initiatives For 2013

    On November 14, the European Commission published an updated document setting out its agenda and timetable for the legislative proposals and non-legislative acts related to financial services that it expects to adopt between November 1 and December 31.
    United StatesFinance and Banking
    Orrick
    Orrick
  • Showing 221–240 of 42733 results

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