Global Financial Regulatory Blog

Tag Archives: US

OCC Issues Policy Guidance on Venture Loans

The OCC outlines safety and soundness principles and appropriate risk management processes for its regulated institutions that engage in venture lending. By Arthur S. Long, Pia Naib, and Deric Behar On November 1, 2023, the Office of the Comptroller of the Currency (OCC) issued Bulletin 2023-34 (the Guidance), which clarifies the OCC’s policy positions regarding the risk … Continue Reading

SEC Adopts Changes to Names Rule for Registered Funds

The amendments aim to modernize the Names Rule and promote investor protection objectives by ensuring that a fund’s portfolio of holdings aligns with its name. By Laura N. Ferrell, Sarah E. Fortt, Betty M. Huber, Paul A. Davies, Nicola Higgs, Anne Mainwaring, Karmpreet (Preeti) Grewal, Austin J. Pierce, and Deric Behar The US Securities and … Continue Reading

FDIC Vice Chairman Cautions Against New Regulation as a Response to Recent Bank Failures

In contrast with the White House’s position, the Vice Chairman denied that loosened Dodd-Frank rules contributed to the recent bank failures. By Arthur S. Long, Pia Naib, and Deric Behar On April 12, 2023, Federal Deposit Insurance Corporation (FDIC) Vice Chairman Travis Hill delivered a speech at the Bipartisan Policy Center, “Recent Bank Failures and … Continue Reading

COVID-19 Bank Lending Relief Measures

By Axel Schiemann, Marco Bonasso, Rob Moulton, Pia Naib Several countries have announced or have already implemented extensive debt relief measures for consumers and companies. In some instances these measures also include debt moratoria. The following provides a brief overview of key headlines reflecting the current status for such debt moratoria in Germany, Italy, UK, … Continue Reading