Rule 15c2-12 of the Securities Exchange Act of 1934 (Rule 15c2-12) was adopted by the Securities and Exchange Commission (SEC) in 1989 to establish standards for the procurement and dissemination
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regulations
Greenberg Traurig’s Carl Fornaris and William Mack Participate at FMA’s Legal and Legislative Issues Conference
By Greenberg Traurig on
Shareholders Carl A. Fornaris and William B. Mack of global law firm Greenberg Traurig, LLP will be participating at the Financial Markets Association’s 2017 Treasury and Capital Markets Legal and…
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Greenberg Traurig to Host Atlanta-Israel Fintech Innovation Conference
By Greenberg Traurig on
Carl A. Fornaris, co-chair of the Financial Regulatory and Compliance Practice, will participate in the GT-hosted second annual Atlanta-Israel FinTech Innovation Conference, which connects leading Israeli companies in the…
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Corporate Governance in Insurance: Key Regulatory Considerations
By Richard J. Fidei & Fred E. Karlinsky on
Posted in Corporate Governance, Insurance
Corporate governance in insurance continues to be a growing focus among state regulators. The National Association of Insurance Commissioners (the NAIC) adopted the Corporate Governance Annual Disclosure (CGAD) Model Act…
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Japanese Fintech Regulation Update: New Law & Regulations on Electronic Banking Settlement Agency Service
By Eri Yoshimura, Makoto Koinuma & Koichiro Ohashi on
Posted in Fintech
The Financial Service Agency of Japan (JFSA) submitted a bill (Bill) to the National Diet to amend the Banking Act (Act No. 59 of 1981, as amended, the Banking Act)…
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OCC Consideration of Special Purpose Fintech Charters Draws Rapid Reaction for State Banking Regulators
By Andrew S. Wein & Greenberg Traurig on
On Dec. 2, 2016, the Office of the Comptroller of the Currency (OCC) published a preliminary proposal to create a national bank charter for financial technology companies (fintech). The OCC’s…
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