Andrew J. Shipe

CFPB’s New Supervisory Manual Focuses on Risk to Consumers
Beth S. DeSimone,A. Patrick Doyle,Jeremy W. Hochberg,Michael B. Mierzewski,Nancy L. Perkins,Andrew J. Shipe, October 31, 2011
On October 13, 2011, the Consumer Financial Protection Bureau (CFPB) released the CFPB Supervision and Examination Manual (Manual). The Manual provides the CFPB’s examiners with guidelines for determining whether entities providing consumer financial products and services are complying with...

International Implications of New FINRA Registration Rules for Securities Back Office Personnel
Monique Anne Gaylor,Ramon P. Marks,Grace Pickering,Andrew J. Shipe,D. Grant Vingoe, September 12, 2011
On October 17, 2011, the Financial Industry Regulatory Authority’s (FINRA) Rule 1230(b) (6) regarding “Operations Professionals” will take effect, imposing registration, qualification, and continuing education requirements on a wide range of people involved in the clearing and...