Alert May 13, 2003

Financial Services Alert

  • Basel Committee Publishes “Final” Proposed Capital Accord
  • FinCEN and Federal Functional Regulators Issue Final USA PATRIOT Act Customer Identify Verification Regulations for Broker-Dealers and Futures Commission Merchants
  • SEC Adopts Final Rules Regarding Electronic Filing and Website Posting Requirements for Section 16 Reports
  • FRB, OCC and OTS Address Limited Application of Sarbanes-Oxley to Non-Public Banks