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HTMLFINRA, SEC Renew Focus on Senior Investors in Immediate Aftermath of FINRA Submission of Proposed Rulemaking to SEC
Bruce M. Bettigole, Clifford E. Kirsch, Brian L. Rubin, Sarah Razaq Sallis, Holly H. Smith; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
October 25, 2016, previously published on October 25, 2016
On October 22-23, members of the securities industry, academia, regulators, and public policy experts gathered in Washington, D.C., at the joint Financial Industry Regulatory Authority (FINRA) and Securities Industry and Financial Markets Association (SIFMA) Senior Investor Protection Conference....


HTMLCyber Risk Management - G7 Cybersecurity Guidelines For The Financial Sector
Bradley J. Freedman; Borden Ladner Gervais LLP;
Legal Alert/Article
October 25, 2016, previously published on October 17, 2016
On October 14, 2016, the Government of Canada announced its endorsement of the G7 Fundamental Elements of Cybersecurity for the Financial Sector guidelines adopted by the Group of Seven ("G7") to assist financial sector entities to design and implement a suitable cybersecurity strategy...


HTMLRecently Issued Accounting Standards - The SEC’s View on Disclosure
Greenberg Traurig LLP;
Legal Alert/Article
October 20, 2016, previously published on October 17, 2016
The SEC staff recently addressed best practices for financial statement disclosure in periods leading up to the adoption of recently issued accounting standard updates, or ASUs. In particular, the SEC staff commented on the application of Staff Accounting Bulletin (SAB) Topic 11.M “Disclosure...


HTMLU.S. Government Designates an International Payments Processing Network as Specially Designated Nationals, Continuing its Aggressive Use of Targeted Sanctions Against Non-U.S. Financial Firms that Allegedly Facilitate Unlawful Business Activities
Carl A. Fornaris, Sandra K. Jorgensen, Renee A. Latour; Greenberg Traurig, LLP;
Legal Alert/Article
October 17, 2016, previously published on October 12, 2016
On Sept. 22, 2016, the U.S. Department of the Treasury through its Office of Foreign Assets Control (OFAC) imposed sanctions against the PacNet Group (PacNet), a Canada-based international payments processor and money services business, and the entire PacNet operation, including a global network of...


HTMLNew Regulations in Japan Concerning Margin Requirements on Uncleared OTC Derivatives
Makoto Koinuma, Koichiro Ohashi; Greenberg Traurig Horitsu Jimusho;
Legal Alert/Article
October 12, 2016, previously published on October 10, 2016
Following the publication of the final report by the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commission (IOSCO) in September 2013,1 which sets forth key principles for margin requirements for uncleared derivatives, the Financial Services Agency...


HTMLThe Federal Reserve’s Proposed Rollback of Physical Commodities Authority for Financial Holding Companies
Scott A. Cammarn, Jacob Dachs, Athena Yvonne Eastwood, Paul J. Pantano, Vanessa Tanaka; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
October 6, 2016, previously published on September 29, 2016
On September 23, 2016, the Board of Governors of the Federal Reserve System (the “FRB”) issued a proposed regulation concerning the ability of a financial holding company (“FHC”)1 to engage in physical commodities activities (the “Commodities Proposal”). The...


HTMLFirst-Ever: Cybersecurity Regulations Released by New York Department of Financial Services
Duane Morris LLP;
Legal Alert/Article
October 5, 2016, previously published on September 16, 2016
After surveying nearly 200 of its regulated banking and insurance companies for industry insight, the New York Department of Financial Services (the “NYDFS”) proposed a first-ever, cybersecurity regulation, on September 13, 2016, to protect against the growing threat of cyber-attacks....


HTMLThird Circuit Rules That Private Equity Fund and Portfolio Company Are Not a “Single Employer” for Purpose of WARN Act Liability
Mark G. Douglas, Timothy (Tim) Hoffmann; Jones Day;
Legal Alert/Article
September 30, 2016, previously published on September/October 2016
As private equity funds increasingly decide to participate actively in the affairs and management of their portfolio companies, recent court rulings suggest that funds may face greater exposure to liability for a portfolio company’s obligations. For example, in 2013, the First Circuit Court...


HTMLNew York Proposes First-Ever Cybersecurity Regulation for Financial Institutions
Cynthia J. Larose, Natalie Prescott; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
September 26, 2016, previously published on September 19, 2016
The New York Department of Financial Services recently announced a new proposed rule, which would require financial institutions and insurers to implement strong policies for responding to cyberattacks and data breaches. Specifically, the rule would require insurers, banks, and other financial...


HTMLCyber Risk Management - New York State Regulation for Financial Institutions
Bradley J. Freedman; Borden Ladner Gervais LLP;
Legal Alert/Article
September 26, 2016, previously published on September 16, 2016
On September 13, 2016, the New York State Department of Financial Services published for comment a proposed cybersecurity regulation for the financial industry. The regulation provides important, detailed guidance for all organizations to help manage cyber risks.


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