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Financial Services Industry Disclosure

A&O Shearman

European Banking Authority Publishes Final Draft Implementing Technical Standards on Pillar 3 Disclosure Framework under Third...

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The European Banking Authority has finalized its draft implementing technical standards on public disclosures by institutions that implement the changes in the Pillar 3 disclosure framework introduced by the third Capital...more

White & Case LLP

Side Letters: Just Paper Tigers, Or Do They Roar?

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Side letters document bespoke arrangements between all or certain parties to a financing transaction and supplement the terms of the principal documents thereto. Becoming increasingly popular with stakeholders, and with the...more

Bass, Berry & Sims PLC

Swiss Finance Company to Pay Almost $4 Million for Sanctions Violations

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On March 14, the U.S. Treasury Department, Office of Foreign Assets Control (OFAC) announced that EFG International AG (EFG), a Switzerland-based bank, had agreed to pay roughly $3.74 million to settle allegations that it had...more

Alston & Bird

Yet More Carrots: DOJ Announces New Whistleblower Pilot Program

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Our White Collar, Government & Internal Investigations Team reviews a new program announced by the Department of Justice (DOJ) that aims to incentivize reporting of corporate and financial misconduct....more

McGlinchey Stafford

CFPB’s So-Called “Junk Fees” Revolution Targets Residential Mortgage Loan Closing Costs

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On March 8, 2024, the Consumer Financial Protection Bureau (CFPB) announced it was seeking public input on so-called “junk fees” incurred as part of the closing process for residential mortgage loans. The residential...more

Klein Moynihan Turco LLP

CFPB Releases Comparison Shopping Warning

On January 29, 2024, the Consumer Financial Protection Bureau (“CFPB”) issued a circular (the “Circular”) detailing what it considers deceptive financial services marketing practices under the Consumer Financial Protection...more

Perkins Coie

California DFPI Orders Consumer Financing Platform To Cease Hidden Junk Fees

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On January 9, the California Department of Financial Protection and Innovation (DFPI) issued an order against a consumer financing platform that enables merchants to offer installment contracts to their customers. The...more

Perkins Coie

N.Y. Governor Proposes Measures To Ensure Fairness in “Buy Now Pay Later” Services

Perkins Coie on

On January 2, New York Governor Kathy Hochul announced a proposal to establish regulations for the “Buy Now Pay Later” (BNPL) loan industry. Gov. Hochul announced that she will propose legislation to require BNPL providers...more

Sheppard Mullin Richter & Hampton LLP

CFPB Continues its War on Fees

The CFPB recently proposed two rules on its continuing war on so-called junk fees. The first rule, proposed on January 17, target’s bank overdraft programs. Currently, financial institutions that extend overdraft loans...more

Mintz - Energy & Sustainability Viewpoints

Energy & Sustainability Litigation Updates - January 2024

Federal Regulatory Developments - In a recent filing with the Office of Management and Budget, the Securities & Exchange Commission disclosed that the vote by the SEC Commissioners as to whether to issue the SEC’s...more

Allen Matkins

Court Rules That Debate And Litigation Do Not Necessarily A Controversy Make

Allen Matkins on

In June of 2022, I reported on the adoption of commercial financial disclosure rules by the California Department of Financial Protection & Innovation.  These rules were adopted pursuant legislation, SB 1235, that was enacted...more

A&O Shearman

D&I disclosures: what D&I information will the UK regulators expect financial services firms to disclose?

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The UK financial services regulators’ proposals for creating a new regulatory framework for diversity and inclusion (D&I) in financial services include proposals that in-scope firms report various aspects of their D&I data on...more

Morgan Lewis

New York Attorney General Proposes Comprehensive and Restrictive Digital Assets Bill

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New York Attorney General Letitia James introduced on May 5, 2023 a proposed bill that, if enacted, would significantly tighten regulation over digital asset market participants and exchanges. While the New York State...more

Skadden, Arps, Slate, Meagher & Flom LLP

IOSCO Proposes Policy Recommendations for the Regulation of Crypto Markets

In May 2023, the board of the International Organization of Securities Commissions (IOSCO) published its Policy Recommendations for Crypto and Digital Asset Markets Consultation Report, which proposes 18 policies it plans to...more

Morrison & Foerster LLP

10 Tips for Fintechs in Navigating Sponsor Bank Relationships through this Banking Crisis

The current banking crisis, which in significant part has been focused on regional banks catering to fintech companies, is likely to result in increasing regulatory focus on an industry already subject to regulatory scrutiny....more

Orrick, Herrington & Sutcliffe LLP

DFPI modifies CCFPL proposal

On February 24, the California Department of Financial Protection and Innovation (DFPI) released modifications to proposed regulations for implementing and interpreting certain sections of the California Consumer Financial...more

Sheppard Mullin Richter & Hampton LLP

FinTech Prevails in Texas “True Lender” Challenge

On January 11, 2023, a Texas federal court dismissed a class action lawsuit against a leading financial technology company alleging it violated Texas usury laws by charging interest on loans it made through a partnership with...more

McDermott Will & Emery

Pflicht zur ESG-Kundenbefragung gilt zukünftig auch für Finanzanlagenvermittler

Nun also auch die Finanzanlagenvermittler! Das Bundeswirtschaftsministerium hat am 11. November 2022 einen Referentenentwurf für eine „Verordnung zur Änderung der Gewerbeanzeige- und der Finanzanlagenvermittlungsverordnung“...more

Orrick, Herrington & Sutcliffe LLP

California: TILA does not preempt state laws on commercial financial disclosure

On January 20, California Attorney General Rob Bonta sent a comment letter to CFPB Director Rohit Chopra in response to a preliminary determination issued by the Bureau in December, which concluded that commercial financial...more

Alston & Bird

NMLS Seeks Comments on Proposed Revisions to Company and Individual Disclosure Questions

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A&B Abstract: The Nationwide Multistate Licensing System & Registry (NMLS) Policy Committee is inviting comments on the NMLS Disclosure Questions Proposal. The comment period is now open and runs until August 22. Among other...more

McGlinchey Stafford

Did I waive the terms of my contract? - McGlinchey Commercial Law Bulletin - July 8, 2022

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Fair Debt Collection Practices Act- In this appeal, the Court of Appeals for the Sixth Circuit reversed and remanded the District Court for the Northern District of Ohio’s decision, finding the debt collector violated the...more

Sheppard Mullin Richter & Hampton LLP

California Approves Commercial Financing Disclosure Regulations

On June 9, the California Office of Administrative Law (OAL) approved the Department of Financial Protection and Innovation’s (DFPI) proposed commercial financing disclosure regulations issued pursuant to SB 1235...more

Sheppard Mullin Richter & Hampton LLP

Judgment Creditors Beware: Moving For Contempt May Be Within Reach, But Difficult To Grasp

In the New York County Commercial Division, Justice David B. Cohen’s ruling in B&M Kingstone, LLC v. Mega Int’l Comm. Bank Ltd., 2022 NY Slip Op. 30481(U) (Sup. Ct. N.Y. Cnty. 2022) makes clear that New York courts can compel...more

Katten Muchin Rosenman LLP

New York Department of Financial Services Alters Effectiveness Date of New Commercial Financing Disclosure Laws

New York's Department of Financial Services (DFS or Department) has used its authority to extend a statutorily-mandated January 1, 2022, effective date. As we previously reported in our September 30 Client Alert, the DFS...more

Katten Muchin Rosenman LLP

New York Department of Financial Services Issues Proposed Rules Implementing Commercial Financing Disclosure Laws

On September 21, 2021, the State of New York Department of Financial Services (DFS) issued proposed regulations that will implement statutory requirements related to commercial financing disclosures for certain types of...more

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