Financial Institutions, Financial Services Industry, Conflicts of Interest

UK FCA Publishes New Webpage Consolidating Its Work on Wholesale Bank Supervision

A&O Shearman on 8/19/2025

The UK Financial Conduct Authority (FCA) published a new "Wholesale banks supervision" webpage which consolidates insights from the FCA's multi-firm and other supervisory work involving wholesale banks. The webpage covers a...more

NYDFS proposes guidance on vetting personnel for entities licensed or chartered under NY banking law

Orrick, Herrington & Sutcliffe LLP on 5/12/2023

On May 9, NYDFS Superintendent Adrienne A. Harris released proposed guidance for banking organizations and non-depository financial institutions chartered or licensed under the New York Banking Law concerning the Department’s...more

FDIC Requests Comments to Draft Principles for Climate-Related Financial Risk Management

Goodwin on 4/8/2022

In This Issue. The Federal Deposit Insurance Corporation (FDIC) requested comments to draft principles for climate-related financial risk management; the U.S. Securities and Exchange Commission (SEC) published its 2022 exam...more

U.S. Department of Labor Formalizes Reinstatement of “Five Part Test” For Fiduciary Investment Advice and Proposes Broad Principal...

Goodwin on 7/29/2020

On June 29, 2020, the U.S. Department of Labor (the Department) formally reinstated its “five-part test” for determining what constitutes “investment advice” under ERISA and Section 4975 of the Internal Revenue Code (the...more

Financial Services Weekly Roundup: The Supreme Court Strikes Back On Single Director Leadership Structures

Goodwin on 7/6/2020

In This Issue. The U.S. Supreme Court struck down the single director leadership structure of the Consumer Financial Protection Bureau (CFPB) in a ruling that could have far-reaching implications for the CFPB and other...more

Financial Institutions › Financial Services Industry › Conflicts of Interest

UK FCA Publishes New Webpage Consolidating Its Work on Wholesale Bank Supervision

NYDFS proposes guidance on vetting personnel for entities licensed or chartered under NY banking law

FDIC Requests Comments to Draft Principles for Climate-Related Financial Risk Management

U.S. Department of Labor Formalizes Reinstatement of “Five Part Test” For Fiduciary Investment Advice and Proposes Broad Principal...

Financial Services Weekly Roundup: The Supreme Court Strikes Back On Single Director Leadership Structures

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