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Posts taggedBanking (Page 49)
New Federal Reserve Guidance on Credit Risk Management in Transactions with Investment Funds – How to Avoid Another Archegos-Type Effect | News | Haynes and Boone, LLP (haynesboone.com)The Fed – SR 21-19: The Federal Reserve Reminds Firms of Safe and Sound Practices for Counterparty Credit Risk Management in...
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January 18, 2022 webmaster
Banking, Funds, Investment Funds, Regulatory, Risk Management, US
Investment Adviser Settles Charges for Conflicts of Interest and Best Execution Violations | Cadwalader Cabinet | Find Know Do See also:www.findknowdo.com/news/03/07/2022/investment-adviser-settles-best-execution-and-mutual-fund-share-class-selection-violations?utm 0
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January 14, 2022 webmaster
Banking, Regulatory, US
NCUA Provides Guidance on Third-Party Digital Asset Service Providers | Cadwalader Cabinet | Find Know DoRelationships with Third Parties that Provide Services Related to Digital Assets | National Credit Union Administration (ncua.gov)Regulators: Credit Unions Can Partner With Digital Asset Providers | Troutman Pepper – JDSupra See also:NCUA Issues...
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January 14, 2022 webmaster
Banking, Crypto Currencies, US
Advertising and Promotion of Banking Products, Angus Forsyth (galalaw.com) 0
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January 12, 2022 webmaster
Banking, Hong Kong, Regulatory
www.findknowdo.com/news/12/17/2021/firm-settles-sec-and-cftc-recordkeeping-violations-use-personal-communications?utm 0
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January 11, 2022 webmaster
Banking, Regulatory, US
hsfnotes.com/bankinglitigation/2021/12/15/privy-council-considers-reformulated-test-for-determining-scope-of-duty-of-care-owed-by-professional-advisers/#page=1www.3harecourt.com/privy-council-applies-the-scope-of-duty-principle/beale-law.com/article/sharing-is-caring-although-dont-expect-a-duty-of-care-to-always-arise-for-shared-professional-advice-mcclean-and-others-v-thornhill-qc-2022-ewhc-457/£www.traverssmith.com/knowledge/knowledge-container/court-of-appeal-upholds-decision-that-tax-silk-advising-investment-scheme-promoter-owed-no-duty-of-care-to-investors-mcclean-ors-v-andrew-thornhill-2023-ewca-civ-446/Court of Appeal guidance: when do professionals owe duties to third pa (cms-lawnow.com) 0
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January 7, 2022 webmaster
Banking, Litigation, UK
www.engage.hoganlovells.com/knowledgeservices/viewContent.action?key=Ec8teaJ9VaoUiNlw7ZSq1cxgHJMKLFEppVpbbVX%2B3OXcP3PYxlq7sZUjdbSm5FIetvAtgf1eVU8%3D&navwww.mayerbrown.com/en/perspectives-events/publications/2021/12/hong-kongs-code-of-banking-practice-revisedwww.deacons.com/2021/12/16/code-of-banking-practice-update-2/ Update:www.deacons.com/2023/12/13/code-of-banking-practice-update-3/ 0
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January 7, 2022 webmaster
Banking, Hong Kong, Regulatory
www.findknowdo.com/news/12/09/2021/finra-prohibits-use-target-returns-advertising?utm 0
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January 3, 2022 webmaster
Banking, Regulatory, US
www.lplegal.com/content/top-banking-regulator-warns-increased-ransomware-attacks.html 0
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December 30, 2021 webmaster
Banking, Regulatory, US
brexit.freshfields.com/post/102hc4z/uk-eu-divergence-in-financial-services-regulationSee also:bit.ly/3oHsroQbit.ly/3rSMByw 0
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December 29, 2021 webmaster
Banking, European Union, Regulatory, UK