| February 11, 2014 |
| Goodwin Procter Alert: The Alternative Investment Fund Managers Directive – Status Update of Implementation Throughout Europe |
| SEC and DOL Reach $21 Million Settlement with Adviser Over Alleged Failure to Disclose and Correct Trading Errors and Improper Cross-Trading |
| SEC Staff Issues Risk Alert Addressing Adviser Due Diligence on Alternative Investments |
| SEC Further Extends Securities Law Exemptions for Security-Based Swaps |
| Mutual Fund Directors Forum Issues Report on Director Oversight of Mutual Funds Focused on Non-Traditional Assets and Strategies |
| FRB Governor Tarullo Outlines Top Regulatory Priorities for 2014 |
|
| February 18, 2014 |
| SEC No-Action Letter Provides Relief from Broker-Dealer Registration for M&A Brokers |
| SEC Settles with Adviser and Its Principal over Misleading Mutual Fund and Advisory Services Advertisements in Newsletters and on Websites |
| FRB Proposes to Repeal Regulations P and DD and Amend Regulation V |
| NFA Provides Further Guidance on Bylaw 1101 Obligations of Members Who Do Business with CPOs/CTAs Relying on an Exemption or Exclusion from CFTC Registration |
| OCC Issues Revised Mortgage Banking Booklet |
|
| February 25, 2014 |
| SEC Staff Grants No-Action Relief to Affiliated Securities Lending Agent |
| SEC Staff Provides Additional Guidance for Private Fund Advisers on “Knowledgeable Employees” |
| SEC Staff Provides Guidance on Unbundling Proxy Proposals to Amend Fund Charters |
| SEC Examination Staff Launches Never-Before Examined Adviser Initiative |
| FinCEN Issues Guidance for Financial Institutions Seeking to Provide Services to Marijuana-Related Businesses |
| Goodwin Procter Alert: OFAC Issues New Foreign Sanctions Evaders List |
| FINRA Fines Firm and Former AML Compliance Officer For Failures to Comply with Anti-Money Laundering Obligations |
|
| March 4, 2014 |
| OCC and Boston University Center for Finance, Law & Policy to Host Symposium Commemorating 150th Anniversary of OCC |
| FRB Issues Supervisory Letter Concerning its Application Process and the Most Frequently Cited Reasons for Application and Notification Denials |
| Goodwin Procter Alert: FCA Issues Final Remuneration Guidance for AIF Managers |
| FINRA Fines Firm and Former Chief Compliance and AML Officer For Failing to Register Foreign Finders and Failure to Comply with Anti-Money Laundering Obligations |
| ISDA Publishes 2014 Credit Derivatives Definitions |
| SEC Re-Opens Comment Periods for Asset-Backed Securities Rule Proposals |
| MSRB Proposes New Conduct Rule for Non-Solicitor Municipal Advisors and Amendments to Books and Records Rules for Municipal Advisors |
|
| March 11, 2014 |
| FINRA Proposes Separate Rules for Firms Whose Activities Are Limited to Advice on Capital Raising and Restructuring and Solicitation of Institutional Investors |
| OCC, FRB and FDIC Issue Joint Stress Test Guidance for Medium-Sized Banking Firms |
| CFTC Staff Issues Best Practices for Customer Information Safeguards |
| SEC Staff Provides Guidance on Aggregate Advisory Fee Condition for Multi-Manager Relief |
|
| March 18, 2014 |
| BNA’s Banking Report Publishes Goodwin Attorneys’ Advice on Bank D&O Insurance |
| Goodwin Procter Alert: In Lawson, Supreme Court Expands SOX Whistleblower Protection to Employees of Private Contractors |
| DOL Issues Proposed Rule Requiring Guide for 408(b)(2) Disclosures |
| SEC Proposes Standards for “Covered Clearing Agencies” |
| CFTC Provides Time-Limited No-Action Relief to Certain Affiliated Swap Counterparties |
|
| March 25, 2014 |
| D.C. Circuit Appellate Court Overturns Lower Court Decision on FRB’s Interchange Fee Rule |
| FRB Releases Results of 2014 Stress Tests |
| Comptroller Curry Discusses Banks’ Progress in Meeting BSA Compliance Obligations; States that Senior Executives and Boards Should be Held Accountable for BSA Compliance Failures |
| New ERISA Litigation Update Available |
| FINRA Files Proposed Amendments to Communications Rules |
| SEC Staff Grants No-Action Relief to Permit Fund to Implement Subadvisory Arrangement Prior to Shareholder Approval |
|
| April 1, 2014 |
| FinCEN Issues Advisory Regarding the FATF’s Updated List of Jurisdictions with AML/CTF Strategic Deficiencies |
| FRB Approves Capital Plans of 25 Large Banking Holding Companies, but Rejects Capital Plans of Five Other Large Banking Organizations |
| SEC Staff Posts Analyses of Money Market Fund Reform Literature for Public Comment |
| SEC Extends Re-Opened Comment Periods for Asset-Backed Securities Proposals Until April 28 |
|
| April 8, 2014 |
| Basel Committee Issues Revised Guidelines Concerning External Audits of Banks |
| FFIEC Issues Joint Statements on DDoS Cyber-Attacks and Cyber-Attacks on ATM and Card Authorization Systems |
| SEC Reopens Comment Period on Proposed Target Date Fund Disclosure Requirements to Address Investor Advisory Committee Recommendation Regarding Risk-Based Glide Path Illustration |
| SEC Staff Provides Guidance for Advisers Using Social Media on Compliance with General Prohibition on Testimonials |
| CFTC Staff Provides Guidance on Auditor Independence Requirements Under FCM Customer Protection Rules |
|
| April 15, 2014 |
| FINRA Requests Comment on the Effectiveness and Efficiency of its Rules on Gifts and Gratuities and Non-Cash Compensation and its Rules on Communications With the Public |
| FRB to Extend Volcker Rule Conformance Period for Existing CLOs |
| FRB, FDIC and OCC Issue Final Rule Regarding Leverage Ratios for Largest Top-Tier Bank Holding Companies |
| FFIEC Warns Financial Institutions that Financial Regulators Expect Them to Address Risks from Widely Reported Material Computer Security Vulnerability |
| Goodwin Partner Publishes Article Concerning the Impact of Volcker Rule on Fund Sponsors Affiliated with Non-U.S. Banking Organizations |
| Goodwin Procter Alert - The SEC’s Whistleblower Program: 2013 Results and What to Expect in 2014 |
|
| April 22, 2014 |
| Goodwin Counsel, Margaret Crockett, Named Fellow of American College of Consumer Financial Services Lawyers |
| SEC Examination Staff Issues Risk Alert on Cybersecurity Initiative |
| SEC Settles With Adviser Over Failure to Consider Account Aggregation Requests in Applying Fee Breakpoint Discounts |
| Basel Committee Issues Final Rules on Measuring and Controlling Large Exposures |
| Comptroller Curry Discusses OCC’s Higher Expectations for Large Banks and the Members of Their Boards; States Community Banks Will Only be Subject to Guidelines “in Extraordinary Circumstances” |
|
| April 29, 2014 |
| OCC Proposes to Increase Assessments for Large National Banks and Federal Savings Associations; Leaves Assessments for All Other Institutions Unchanged |
| The Conference of State Bank Supervisors and the North American Securities Administrators Association Release Guidance Regarding Virtual Currencies |
| Goodwin Procter: The Alternative Investment Fund Managers Directive – April 2014 Status Update of Implementation Throughout Europe |
| SEC Proposes Recordkeeping, Reporting, and Notification Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants |
| SEC Staff Provides Guidance on Fund Deregistration Applications |
