Alert November 07, 2006

Financial Services Alert - November 7, 2006

  • Goodwin Procter to Co-Present a CLE Accredited Basel Conference, Host Post-Conference Cocktail Reception – Registration Available Now
  • DOL Finalizes Replacement Securities Lending Exemption
  • FRB Rules Bank Shares Held as Investment Advisor May Have Regulation O Implications
  • Federal and NY Bank Regulators Impose Substantial Civil Money Penalty on Bank for Significant AML Compliance Deficiencies
  • FRB Issues Interpretive Letter Granting Relief under FRA Section 23A and Regulation W
  • Director of SEC’s Division of Investment Management Discusses Asset Manager Brokerage Practices
  • FDIC Issues Additional Deposit Insurance-Related Final Rules
  • UK’s Financial Services Authority Seeks Public Comment on Appropriate Level of Regulation for Private Equity Markets