Category Archives: Banking and Finance law

Banking and Finance Law news articles, reiews, notes and blog examples.

FCA Dear CEO letter setting out expectations as regards financial promotions

On 11 April 2019, the FCA published a Dear CEO letter reminding firms involved in the approval of financial promotions for unauthorised persons of their obligations when doing so. The Dear CEO letter follows a Dear CEO letter published earlier … Continue reading

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Germany v. Wells Fargo Bank, N.A. (Tex.App. 2019)

Standards lowered further to facilitate robo-litigation with sloppy affidavits and minimal documentation in consumer debt litigation  A February 2019 panel opinion of the Fourteenth Court of Appeals in Houston marks a new nadir in the evolving jurisprudence governing credit card collection … Continue reading

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Extended briefing with FCA guest speaker: SM&CR Academy

The first phase of the Senior Managers’ and Certification Regime (SM&CR) was introduced for about 900 banks and deposit takers in March 2016. On 9 December 2019, the FCA is extending this regime to over 47,000 other firms. The basic … Continue reading

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Garrett Institute disclosure panel reviews SEC diversity C&DIs and related state law developments

By Mark S. Nelson, J.D.The public company disclosure panel at the 39th Annual Ray Garrett Jr. Corporate & Securities Law Institute held at Northwestern University's Pritzker School of Law discussed the SEC’s recently issued Compliance and Disclosure Interpretations on board … Continue reading

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Global Regulatory Enforcement and Sanctions Trends for 2019

In this on-demand webinar, members of our Regulatory, Compliance and Investigations team in London, France, the US and Hong Kong give their thoughts on likely regulatory enforcement and sanctions trends for the rest of this year based on recent enforcement … Continue reading

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