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You are here: Industry Financial Services Goodwin Procter: Financial Services Newsletter

GoodwinProcterLogoFinancial Services Newsletter

Goodwin Procter
December 18, 2012
7 pages

In this issue:

  • In Historic Settlement, HSBC Ordered to Pay $1.9 Billion for AML Violations
  • SEC Charges Eight Mutual Fund Directors for Alleged Failure to Properly Oversee Fair Value Determinations
  • U.S. District Court Dismisses Suit Challenging Amendments to CFTC Regulations Affecting Registered Investment Companies
  • FDIC Wins $168.8 Million Jury Verdict Against Three Senior Officers of Homebuilders Division of Failed IndyMac Bank F.S.B.
  • CFTC Provides No-Action Relief from Commodity Pool Operator Registration Requirement for Certain Mortgage REITs
  • CFTC Provides No-Action Relief Regarding Requirements to Report Certain Identifying Information About Non-U.S. Counterparties
  • CFTC Provides No-Action Relief to Certain Futures Commission Merchants Regarding Chief Compliance Officer Annual Reports
  • CFTC Provides No-Action Relief for Swap Dealers and Major Swap Participants from Compliance with Prohibition Against Association with Certain Persons
  • CFTC Provides No-Action Relief from Fingerprinting Requirement for Certain Non-U.S. Principals

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