Financial Services Spotlight

Whistleblower Policies

"Low Risk, High Potential Rates of Return are Achievable"

What Does the Dodd-Frank Relief Bill mean for Enhanced Prudential Standards for Foreign Banks?

FFIEC Examination Procedures for the Beneficial Ownership Rule

Customer Due Diligence and FinCEN’s Frequently Asked Questions

How Does the Fed Want to Regulate Foreign Banks?

Bank Corporate Governance—Fed lowers Boom on Wells’ Directors

Review of Regulatory Responses to the Resolution Plans from the Big Foreign Banks

How Many Times Does the SEC Have to Repeat Itself Before the World Listens?

October and November Developments

Object Lesson on How Not to Respond to Consent and Enforcement Actions

May, June and July Developments

Proposed Fed Guidance for Bank Boards of Directors

A Shot Across the Bow—and a Welcome One

Volcker Rule Developments

Regulatory Relief for Foreign Banks in the Choice Act

March and April 2017 Developments

Special Report on Donald Trump’s Effect on Regulatory Developments

Potential Lessons for Third Wave Resolution Plan Filers - Resolution Plan Comments by the Fed and FDIC on the Second Wave’s Plans

February 2017 Developments

January 2017 Developments

December 2016 Developments

Comptroller of the Currency Finalizes Regulation Prohibiting Purchasing Industrial or Commercial Metals

Action Required Under the Volcker Rule by January 22, 2017

November 2016 Developments

October 2016 Developments

September 2016 Developments

August 2016 Second Half Developments

July 2016 Second Half Developments

July 2016 First Half Developments

June 2016 Second Half Developments

June 2016 First Half Developments

May 2016 Second Half Developments

May 2016 First Half Developments

April 2016 Second Half Developments

April 2016 First Half Developments

March 2016 Second Half Developments

March 2016 First Half Developments

February 2016 Second Half Developments

February 2016 First Half Developments

January 2016 Second Half Developments

January 2016 First Half Developments

About the Spotlight

The Financial Services Spotlight examines the regulatory and technology developments impacting banks, asset managers and other financial services providers—where challenges meet opportunities.

The material on this site is for general information only and is not legal advice. No liability is accepted for any loss or damage which may result from reliance on it. Always consult a qualified lawyer about a specific legal problem.


Meet the Authors

Roy C. Andersen, of counsel in Sullivan & Worcester's New York office, is a member of the Corporate Department. Mr. Andersen focuses on bank regulatory and compliance matters, including international banks and their branches and agencies in New York.

Joel Telpner, partner in the firm's New York office, is a seasoned advisor, strategist and problem solver. Mr. Telpner brings more than 30 years of legal experience in a career that includes time as an AmLaw 100 partner, the former U.S. general counsel of a global financial institution, and a venture capitalist. He is recognized for his ability to deftly manage complex financial transactions, especially those involving sophisticated structured finance and derivatives matters and has an extensive and unique combination of transactional and regulatory experience.

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