January 13, 2004

Financial Services Alert

  • OCC Provides Guidance on Preemption Issues
  • DOL Issues Final Class Exemption for Litigation Settlements
  • Federal Agencies Issue Guidance Regarding Implementation of Customer Information Programs under the PATRIOT Act
  • Public Comment Period on NASD Proposal to Require Fund Expenses Ratios in Performance Advertising Expires January 23
  • FRB Issues Letter Regarding Supervision of Consumer Compliance Risk