Latest Dodd-Frank Posts
CFPB Speaks to Disclosure of its Confidential Supervisory Information
Banking, Consumer Protection The CFPB issued a compliance bulletin setting forth its views that, with limited exceptions, persons in possession of confidential information, including confidential supervisory information, or CSI, may not disclose such information to third parties. The bulletin: sets forth the definition of CSI; provides examples of CSI; highlights certain legal restrictions on the disclosure of CSI; and […] Read more →
End-Users Are Dodd-Frank Collateral Damage According To CFTC Commissioner
Derivatives CFTC Commissioner J. Christopher Giancarlo recently delivered remarks where he stated “Unfortunately, caught up in some of the collateral damage surrounding the Dodd-Frank... Read more →
PCAOB Alerts on Deficiencies in Broker-Deal Audits
Broker-Dealer The first five inspections of broker-dealer audit and new attestation engagements subject to PCAOB standards show deficiencies in the auditors’ application of these... Read more →
SEC Grants Second Bad Actor Waiver With Conditions
Broker-Dealer, Litigation SEC Commissioner Kara Stein recently described what many saw as a possible model for harsher bad actor waivers after settling a matter with the SEC. According to Ms. Stein... Read more →