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Category Archives: Banking and Finance law
Surprise, You Own Chinese Bonds!
Imagine your financial adviser selling you a bond fund that you thought was invested in low risk index or municipal securities only to find out that much of your holdings are in high-risk Chinese or Puerto Rico bonds. Unfortunately, that … Continue reading
SEC’s Office of the Advocate for Small Business Capital Formation to Host Roundtable to Kick Off National Small Business Week
The Securities and Exchange Commission today announced that its Office of the Advocate for Small Business Capital Formation will host a roundtable on May 6 to hear from small businesses and their investors. The roundtable will celebrate the kickoff of … Continue reading
Posted in Banking and Finance law
Tagged advocate, Business, Capital, Formation, Host, Kick, national, Office, Roundtable, SECs, Small, WEEK
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CFPB Changes Policy Regarding Civil Investigative Demands
On April 23, the Consumer Financial Protection Bureau (CFPB) announced changes to its current policies regarding Civil Investigative Demands (CIDs). These changes will require CIDs to provide more information about the alleged wrongful conduct under investigation. The new policy … Continue reading
Posted in Banking and Finance law
Tagged CFPB, changes, Civil, Demands, Investigative, Policy, regarding
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SEC Announces Fraud Charges in Ticket Resale Investment Scam
The Securities and Exchange Commission today charged a New York City man with continuing a previously charged scheme, stealing millions of dollars from investors who were allegedly falsely promised their funds would be used for the purchase and resale of tickets … Continue reading
Posted in Banking and Finance law
Tagged announces, Charges, fraud, Investment, Resale, Scam, Ticket
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Regulation amending CRR on statutory prudential backstop for NPLs published in OJ
On 25 April 2019, there was published in the Official Journal of the EU (OJ) Regulation (EE) 2019/630 of the European Parliament and of the Council of 17 April 2019 amending Regulation (EU) No 575/2013 as regards minimum loss coverage … Continue reading
Posted in Banking and Finance law
Tagged amending, Backstop, NPLs, prudential, Published, regulation, Statutory
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