Weekly Regulatory Deadlines | February 12 to February 18

MAS Issues Guidance on Investment Suitability, Pricing in Private Banking

MAS Issues Guidance on Investment Suitability, Pricing in Private Banking

MAS Issues Guidance on Investment Suitability, Pricing in Private Banking

Source: Regulation Asia

Express Loan Programs; Affiliation Standards

SBA | Lending | Final Rule

Control of Firearms, Guns, Ammunition and Related Articles the President Determines No Longer Warrant Control Under the United States Munitions List (USML)

BIS | FCPA/ABAC | Final Rule

Miscellaneous Corrections, Clarifications, and Improvements

PBGC | Securities | Final Rule

Derivatives Clearing Organization General Provisions and Core Principles

CFTC | Securities | Final Rule

Community Reinvestment Act Regulations; Request for Public Input

OCC | Mortgage Lending | Proposed Rule

MAS Issues Guidance on Investment Suitability, Pricing in Private Banking

MAS Issues Guidance on Investment Suitability, Pricing in Private Banking
Regulation Asia 02/17/2020
MAS looks to private banks’ boards and senior management to ensure the effectiveness of policies, processes, controls and systems in sales and advisory practices, and to shape the staff behaviour...
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Nicolet to buy bank near

Nicolet to buy bank near Milwaukee
American Banker 02/18/2020
The company will pay $130 million for Commerce Financial Holdings...
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Pres hopeful Bloomberg proposes new taxes

Presidential hopeful Bloomberg proposes new taxes, protections to rein in Wall Street
Reuters 02/18/2020
U.S. Democratic presidential candidate Michael Bloomberg on Tuesday outlined a sweeping financial services policy proposal to rein in Wall Street trading, boost consumer protections, increase Americans’ access to banking services and crack down on financial crime...
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HSBC Plans to Cut 35,000 Jobs, $100 Billion of Assets

HSBC Plans to Cut 35,000 Jobs, $100 Billion of Assets
The Wall Street Journal: Markets 02/18/2020
Europe’s biggest bank plans to scale back its operations in the U.S. and mainland Europe, as well as its investment bank, as it reports a sharp fall in net profit...
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Texas Firm Should Be Named in $7M Suit, Brokerage Says
Law360 02/18/2020
Well-known Dallas real estate brokerage Henry S. Miller Commercial Co. and an insurer are in a legal tug-of-war over which side of the docket a law firm should be aligned with as the brokerage fights to collect on $7 million verdict for the firm's negligence...
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