11,472 results found

The comment period, which was originally set to expire on May 21, was extended to June 25, 2018.

The Office of the Comptroller of the Currency ("OCC") named Scott Schainost as Deputy Comptroller for Midsize Bank Supervision and Troy Thornton as Deputy Comptroller for the Southern District.

The Office of the Comptroller of the Currency ("OCC") named Jonathan Gould as the Senior Deputy Comptroller. Mr. Gould also will serve as Chief Counsel.

The Office of the Comptroller of the Currency ("OCC") proposed amending the OCC's company-run stress testing requirements for national banks and federal savings associations.

The Office of the Comptroller of the Currency ("OCC") published an updated version of the "Termination of Federal Charter" booklet of the Comptroller's Licensing Manual.

The Office of the Comptroller of the Currency ("OCC") published a new "Branches and Relocations" booklet of the Comptroller's Licensing Manual.

The Office of the Comptroller of the Currency ("OCC") updated the Comptroller's Handbook to reflect new guidelines that examiners should follow when checking for legal violations by banks.

SEC Commissioner Roisman offers recommendations to improve order handling disclosure. Banking regulators set expectations for managing LIBOR transition.

FSOC identifies climate change as emerging threat to financial stability. CFPB asks tech companies for information on payment platforms.

Broker-Dealer settles FINRA charges for supervisory failures over mutual fund switches. DOL extends enforcement relief to ensure compliance with prohibited transactions exemption.

FTC adopts new requirements to strengthen financial data security.

FinCEN provides relief to FBAR filers affected by natural disasters. Comment deadline set for FINRA-proposed fee for new municipal advisor principal exam.

IMF Senior Executives Warn of Financial Stability Risks Posed by "Crypto Boom." SEC Chair Gensler Directs Staff to Study Complex ETP Risk. MSRB Requests Comment on Draft Compliance Resources for Supervisors.

FINRA proposes order routing disclosures for OTC equity securities. ARRC summarizes its fallback recommendations to date. Broker-dealer settles FINRA charges for Reg SHO miscalculations.

Jesse Hurley, Head of Global Fund Banking at Silicon Valley Bank, connected with Cadwalader's Mike Mascia in this week's podcast edition of Fund Finance Friday: Industry Conversations.

The Secondaries panel was a big draw, as it had a standing room-only crowd that spilled out into the hallway.

Significant growth in continuation funds is creating opportunities for specialized fund financing vehicles, according to a recent report by PEI.