Home > Legal Library > Advanced Search > Search Results









Join Matindale-Hubbell Connected



Search Results (13)

  
 

View Page: 1  2  Next  
Show: results per page
Sort by:
Sponsored Results

Adobe PDFFederal Banking Agencies Issue Final Dodd-Frank Act Stress Test Guidance for MidSized Banking Organizations
Stephen F. Donahoe, Erich M. Hellmold, Aaron M. Kaslow, Michael A. Mancusi, Kevin M. Toomey; Kilpatrick Townsend & Stockton LLP;
Legal Alert/Article
March 21, 2014, previously published on March 19, 2014
On March 5, 2014, the Federal Reserve Board (the “FRB”), the Federal Deposit Insurance Corporation (the “FDIC”) and the Office of the Comptroller of the Currency (the “OCC”) issued final supervisory guidance implementing the provisions of section 165(i) (2) of...

 

Adobe PDFNew York Department of Financial Services Begins Accepting Applications for the Establishment of Regulated Virtual Currency Exchanges
Stephen F. Donahoe, Erich M. Hellmold, Aaron M. Kaslow, Michael A. Mancusi, Kevin M. Toomey; Kilpatrick Townsend & Stockton LLP;
Legal Alert/Article
March 20, 2014, previously published on March 18, 2014
On March 11, 2014, the New York Department of Financial Services (“NYDFS”) issued a public order (“Order”) announcing that the NYDFS will consider formal proposals and applications for the establishment of regulated virtual currency exchanges operating in New York. It is...

 

Adobe PDFBank Secrecy Act and Anti-Money Laundering Programs Continue to Result in Significant Penalties
Stephen F. Donahoe, Erich M. Hellmold, Aaron M. Kaslow, Michael A. Mancusi, Kevin M. Toomey; Kilpatrick Townsend & Stockton LLP;
Legal Alert/Article
February 20, 2014, previously published on February 19, 2014
Bank Secrecy Act (“BSA”) compliance, and in particular anti-money laundering (“AML”) controls, remains a focus of regulators as evidenced by record fines levied in recent weeks. On February 7, 2014, the Financial Industry Regulatory Authority, Inc. (“FINRA”)...

 

HTMLExemption for Asset-Backed Securities May Keep Many TruPS CDOs Outside the Scope of the Volcker Rule
Victor L. Cangelosi, Aaron M. Kaslow; Kilpatrick Townsend & Stockton LLP;
Legal Alert/Article
January 6, 2014, previously published on December 23, 2013
Alarm bells sounded last week when the American Bankers Association and others concluded that collateralized debt obligations backed by trust preferred securities may be ¿covered funds¿ under the final Volcker Rule. A small clarification from the federal banking agencies and closer analysis of a...

 

HTMLNASDAQ Modifies Compensation Committee Independence Standards
W. Benjamin Barkley, Victor L. Cangelosi, Aaron M. Kaslow, David A. Stockton; Kilpatrick Townsend & Stockton LLP;
Legal Alert/Article
December 11, 2013, previously published on December 5, 2013
On November 26, 2013, NASDAQ amended its independence standards for compensation committee members to remove the outright prohibition on compensatory fees. As revised, a board of directors instead must consider the receipt of such fees when determining eligibility for compensation committee...

 

HTMLSEC Finally Proposes Crowdfunding Rules
W. Benjamin Barkley, Kelsey P. Donnalley, David M. Eaton, Aaron M. Kaslow, David A. Stockton; Kilpatrick Townsend & Stockton LLP;
Legal Alert/Article
October 28, 2013, previously published on October 25, 2013
On Wednesday, October 23, the SEC, at long last, formally proposed rules which would allow companies to offer and sell securities through crowdfunding, as contemplated by the JOBS Act. Crowdfunding is an innovative way for small companies and entrepreneurs to solicit investments from a multitude...

 

Adobe PDFFederal Reserve Adopts Final Basel III Capital Rules
Victor L. Cangelosi, Aaron M. Kaslow, Paul S. Pilecki; Kilpatrick Townsend & Stockton LLP;
Legal Alert/Article
July 9, 2013, previously published on July 8, 2013
On July 8, 2013, the Federal Reserve Board (the Board) approved revisions to its capital adequacy guidelines and prompt corrective action rules that implement the revised standards of the Basel Committee on Banking Supervision, commonly called Basel III, and address relevant provisions of the...

 

HTMLNasdaq Proposes New Internal Audit Function Requirement
W. Benjamin Barkley, David M. Eaton, Aaron M. Kaslow, David A. Stockton; Kilpatrick Townsend & Stockton LLP;
Legal Alert/Article
March 15, 2013, previously published on March 18, 2013
On March 4, 2013, Nasdaq issued a proposed new rule that, if approved by the Securities and Exchange Commission (“SEC”), will require listed companies to establish and maintain an internal audit function. The proposed rule is open for public comment until 21 days after publication in...

 

HTMLSEC Initiates Enforcement Actions Against Auditors and Executives of Failed Banks
Victor L. Cangelosi, Aaron M. Kaslow, Kevin M. Toomey; Kilpatrick Townsend & Stockton LLP;
Legal Alert/Article
February 13, 2013, previously published on February 12, 2013
Last month, the Securities and Exchange Commission’s (“SEC”) Enforcement Division filed two unrelated civil complaints - one against two KPMG accountants and the other against bank executives - relating to misconduct that arose from the financial crisis. The KPMG auditors were...

 

HTMLSEC Issues Disclosure Guidance for Cybersecurity Risks and Incidents
W. Randy Eaddy, David M. Eaton, Aaron M. Kaslow, David A. Stockton; Kilpatrick Townsend & Stockton LLP;
Legal Alert/Article
November 8, 2011, previously published on October 18, 2011
On October 13, the Securities and Exchange Commission's Division of Corporation Finance issued written guidance regarding disclosure obligations relating to cybersecurity risks and cyber incidents (i.e., actual incidents of data breaches or other cyber attacks). The guidance is not a rule or...

 


View Page: 1  2  Next