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|What the Banking Industry Expects from Connected Cars|
Eversheds Sutherland (US) LLP;
February 10, 2017, previously published on February 9, 2017The American Banker recently looked at ways in which the connected car might affect not only the roads, but the finance world as well. People might be able to make “truly mobile-payments” as they go through toll booths, visit a drive-through, or stop for gas. Fully autonomous vehicles...
|Mortgage Servicers Subject to New California Law Protecting Surviving Spouses and Heirs; Violations Carry Steep Penalties|
Jennifer L. Gray; Greenberg Traurig, LLP;
February 7, 2017, previously published on January 12, 2017A new California law protects widowed spouses and other survivors, including domestic partners, heirs, siblings, joint tenants, and other people who own their homes but are not listed on the mortgage, from foreclosure following the death of a mortgagor. The Homeowner Survivor Bill of Rights (SBOR),...
|FINRA is Ready to Focus on 'Blocking and Tackling'|
Gregory S. Amoroso, Brian L. Rubin, Sarah Razaq Sallis; Eversheds Sutherland (US) LLP;
February 7, 2017, previously published on February 3, 2017As the football season was winding down, on January 4, 2017, the Financial Industry Regulatory Authority (FINRA) published its 2017 Annual Regulatory and Examination Priorities Letter. According to FINRA President and CEO, Robert Cook, this year’s 11-page letter focuses on “core...
|2017 SEC Exam Priorities for Securities Industry Registrants|
Richard M. Cutshall, Christopher P. McHugh; Greenberg Traurig, LLP;
February 6, 2017, previously published on January 18, 2017The Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual list of examination priorities for 2017 on Jan. 12, 2017. The examination priorities were previously summarized in the Greenberg Traurig Financial Services Observer.
|FINRA Is Ready to Lace-up and Focus on “Blocking and Tackling”: FINRA’s 2017 Priorities and Related Enforcement Actions|
Peter J. Anderson, Eric A. Arnold, Bruce M. Bettigole, Patricia A. Gorham, Olga Greenberg, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk, Neil S. Lang, S. Lawrence Polk, Brian L. Rubin, Amelia Toy Rudolph, Sarah Razaq Sallis, Holly H. Smith, W. Scott Sorrels, John H. Walsh; Sutherland Asbill & Brennan LLP;
January 30, 2017, previously published on January 30, 2017As the football season was winding down, on January 4, 2017, the Financial Industry Regulatory Authority (FINRA) published its 2017 Annual Regulatory and Examination Priorities Letter.1 According to FINRA President and CEO, Robert Cook, this year’s 11-page letter focuses on “core...
|The FINRA WORM Turns|
Cynthia J. Larose; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
January 27, 2017, previously published on January 6, 2017It’s a new year, and time for the Financial Industry Regulatory Authority (FINRA)’s annual Regulatory and Examination Priorities Letter (the “2017 Letter”) We remind regulated entities of this list of examination priorities every year, because cybersecurity appears high on...
|European Account Preservation Order Regulation Comes Into Force|
Yiota Costa; Soteris Flourentzos & Associates LLC;
January 26, 2017, previously published on January 2017The EU Regulation No 655/2014 of 15 May 2014 (the “Regulation”) took effect as of 18 January 2016, establishing the European Account Preservation Order (“EAPO”) procedure. The purpose of the Regulation is to facilitate cross-border debt recovery in civil and commercial...
|Revised Cybersecurity Rules for New York’s Financial Services Industry|
Christopher W. Meyer; Whiteman Osterman & Hanna LLP;
January 26, 2017, previously published on December 30, 2016New York’s “first-in-the-nation” financial services cybersecurity rules moved one step closer to reality this week, with issuance of proposed revised rules by the Department of Financial Services.
|Legal Advice: Privilege - Royal Bank of Scotland (RBS) Rights Issue Litigation|
Peter Finding, Christina Morton, Libby Payne; Withers Bergman LLP;
January 18, 2017, previously published on January 10, 2017This case was not in substance about employment law, but it highlights a difficulty that any HR professional could encounter. It confirms that when lawyers are providing legal advice to a client on an internal investigation, the range of documents that is 'privileged' that is, immune from...
|Disclosure of Confidential Information within the Cayman Islands¿ Financial Services Industry - A Changing Landscape.|
Stuarts Walker Hersant Humphries;
January 18, 2017, previously published by Previously published on Stuarts Walker Hersant Humphries' website.The Government published The Confidential Information Disclosure Bill on 11 May 2016 which will come into force by September 2016. In doing so, it will repeal and replace The Confidential Relationship (Preservation) Law (2015 Revision) (“CRPL”) which some might say has been unfairly...