Alert January 20, 2004

Financial Services Alert

  • NC and CA Treasurers and NY State Comptroller Announce Mutual Fund Protection Principles Basel Committee Provides Update on Basel II
  • SEC Votes to Propose Fund Governance Measures, Adviser Code of Ethics Requirements and Broker-Dealer Point of Sale and Confirmation Statement Disclosures
  • OCC Issues Letter Concerning Application of Interagency Statement on Branch Names
  • OCC Proposes Requiring Approval for Fundamental Change in Bank Assets
  • SEC Provides No Action Relief on Investment Company to Nonbank Provider of Check Payment Services