The Office of the Comptroller of the Currency published a new section of the Comptroller's Licensing Manual titled "Substantial Asset Changes, Including Changes in Charter Purpose."
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A divided federal appeals court upheld the conviction of a former hedge fund portfolio manager for insider trading related to confidential information received from doctors who worked on a clinical trial for an experimental Alzheimer's drug.
The Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System and the FDIC proposed extending the transitional capital treatment of certain regulatory capital deductions, risk weights and minority interest requirements.
The MSRB proposed amendments to a form for reporting information on municipal fund securities.
The Financial Crimes Enforcement Network ("FinCEN") expanded its efforts to combat money laundering in the luxury residential real estate market. FinCen also issued guidance on the risks associated with "all-cash" transactions in that market.