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Specialty Group: Financial Institutions and Markets

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Member Articles

Securities And Exchange Commission Sanctions Three Investment Advisory Firms For Repeatedly Ignoring Problems With Their Compliance Programs

Contact: Mark D. Knoll & Daniel G. Nelson; Bressler, Amery & Ross, P.C. (New Jersey, USA) On October 23, 2013, the SEC announced that three investment advisory firms had agreed to settlements for repeatedly ignoring s ...

CFPB Issues Final Rules Amending Regulations B, X and Z to Clarify and Amend Earlier Dodd-Frank Rules

Contact: Edmund D. Harllee; Williams Mullen (North Carolina & Virginia, USA) On July 2, 2013, the Consumer Financial Protection Bureau (the “Bureau”) published proposed rules and a request for public comment in the ...

Impact of Chapter 11 Bankruptcy on Liens

Contact: Heather Morris; Spencer Fane Britt & Browne LLP (Missouri, USA) In the Chapter 11 bankruptcy case of Acceptance Loan Company, Inc. v. S. White Transportation, Inc., the Fifth Circuit recently held that a s ...

Interagency Guidance Clarifies Banks’ Right to Report Financial Abuse of Elders

Contact: Heather Morris; Spencer Fane Britt & Browne LLP (Missouri, USA) The Federal Reserve, CFPB, FDIC, OCC, SEC, NCUA, FTC, and CFTC recently issued Interagency Guidance to clarify that banks and other financial ...

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