The Financial Stability Oversight Council’s (FSOC) recently revised guidelines (the 2019 Guidelines) on how it will identify and address financial stability risks are a major shift from...
On December 10, 2019, the CFTC reopened the comment period for the proposed capital requirements for swap dealers and major swap participants that are not subject to the capital rules of ...
Financial services regulatory reform will continue to be active in 2020, with developments percolating in all three branches of government. As we observe the changing landscape, here is ...
The CFTC’s Division of Swap Dealer and Intermediary Oversight issued an advisory on December 4, 2019 to provide further guidance regarding the preparation and submission of CCO annual r...
To help guide public companies in preparing their annual reports and proxy statements for the 2020 season, we examined the climate change and human capital management disclosures that hav...
The SEC’s Enforcement Division (the “Division”) released its annual report on November 6. The Division filed 7% more standalone cases in 2019 than it did in 2018, and financial sanc...
On Friday, November 1, 2019, the Supreme Court granted certiorari in Liu v. Securities and Exchange Commission, a case that challenges the SEC’s long-held position that it has authorit...
On September 17, 2019, the Federal Deposit Insurance Corporation (the “FDIC”) published proposed amendments (the “Proposal”) to the U.S. prudential regulators’ (the “Agencies?...
The FDIC and the OCC approved final amendments to the original Volcker Rule regulations, which were first adopted in December 2013. The Federal Reserve, SEC and CFTC are expected to appr...
Financial services regulatory reform continues to evolve in 2019. As we observe the changing landscape, here is the Fall Focus Edition of our reference tool, which provides context and s...
