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Moore & Van Allen (MVA) Financial Regulatory Advice and Response Member Ed O’Keefe will serve as the moderator for the panel titled, “Long-Term Effects of COVID-19 on Bank Health” during the Banking Institute Program which will take place March 18-19.  Ed’s panel includes senior representatives of the OCC, Federal Reserve, NC Department of Banking and the Bank Policy Institute.

This year's Institute agenda also includes panels on: 

  • The Current State of the LIBOR Transition
  • Diversity and Inclusion: A Business Imperative
  • Bank Partnerships with FinTech Firms

And ...

Healthcare: Indictment for Antitrust in Employment

Moore & Van Allen’s (MVA) White Collar Defense, Investigations, and Regulatory Advice Member Jim McLoughlin and Associate Kristen Kenley’s blog titled, “Healthcare: Indictment for Antitrust in Employment” was published on January 25.

MVA Financial Services Counsel Ed Ivey‘s article titled “Election Season Special: 2021 Candidates for LIBOR Replacement” was recently published in the Futures & Derivatives Law Report, a Thomson Reuters publication. The article provides an overview and analysis regarding the various non-SOFR alternative reference rates, such as Ameribor, and issues related to the chances such rates have at being adopted and widely used in the market.
The article
Get excited. The next big election season is about to kick-off. The London Inter- bank Offered Rate (“LIBOR”) is ...

Department of Justice Brings First Sherman Act Wage Case and Does So in Healthcare, A Primary Focus of the Department

In December, the Department of Justice filed its first ever criminal case for price fixing of wages. DOJ indicted the owner of a physical therapist staffing company for instigating a conspiracy among physical therapy services to suppress competition and fix wages for physical therapists and physical therapy assistants. Neerha Jindal, whose former company operated in the Dallas-Fort Worth area, was indicted in the Eastern District of Texas for violation of Section 1 of the Sherman Act. 

In Count One, DOJ alleges Mr. Jindal successfully encouraged his co-conspirators at other ...

The Future After Forbearance: What’s Next?

MVA Financial Regulatory Advice and Response Counsel Nicole Schiavo’s MVA White Collar Defense, Investigations, and Regulatory Advice Blog article titled, “The Future After Forbearance: What’s Next?” was published on November 17.

Fall 2020 Brings Increased Regulatory Focus on Financial Institution Detection of Human Trafficking

On October 15, 2020, the Financial Crimes Enforcement Network of the U.S. Department of Treasury (FinCEN) released its Supplemental Advisory on Identifying and Reporting Human Trafficking and Related Activity (Supplemental Advisory). The last time FinCEN provided guidance on identifying trafficking in anti-money laundering (AML) processes was in Guidance on Recognizing Activity that May be Associated with Human Smuggling and Human Trafficking – Financial Red Flags on September 11, 2014. The evolving tactics of human traffickers and behaviors of victims required ...

New Treasury Department Regulations Modify Mandatory Filing Requirements for Critical Technology Businesses

By: Elena F. Mitchell and Frank Schall.

The U.S. Department of the Treasury (“Treasury”) recently published a proposed rule that would modify the mandatory filing requirements in place throughout the pilot program for certain foreign investment transactions subject to review by the Committee on Foreign Investment in the United States (“CFIUS”) pursuant to the Foreign Investment Risk Review Modernization Act of 2018 (“FIRRMA”). The proposed rule modifies the mandatory filing requirement for “critical technologies” transactions involving a U.S. business ...

Modern Slavery Statement Guidance – Note to Financial Institutions

The United Kingdom Home Office has released guidance to companies that are required to make a public statement about human trafficking risks and prevention measures under the U.K. Modern Slavery Act of 2015.  Organizations are to address the emerging risks of exploitation at the company and in the supply chain caused by COVID-19 in their statement against modern slavery.

The guidance encourages careful consideration of the risks posed by changes in operations and supply chains that may result from the current economic crisis, including fluctuation in product or service demands and ...

Treasury Department Publishes Interim Final Rule Implementing CFIUS Filing Fees

By: Elena F. Mitchell and Frank Schall.

As discussed in our related March 25, 2020 post, in early March 2020, the Department of the Treasury (“Treasury”) issued a proposed rule regarding filing fees for parties filing voluntary notices of certain transactions for review by the Committee on Foreign Investment in the United States (“CFIUS”) pursuant to the Foreign Investment Risk Review Modernization Act of 2018 (“FIRRMA”). Earlier this week, on April 28, Treasury filed an interim final rule implementing filing fees beginning May 1, 2020. In issuing the rule as an ...

Legislative and Bank Regulatory Actions to Assist Forbearance in a Pandemic World

By Kristina Whittaker and Ed O'Keefe.  For the last three weeks or so, the federal and state banking agencies, collectively and individually, have, with increasing urgency, called on financial institutions to meet the financial needs of customers impacted by the COVID-19. Congress has now codified some of the guidance in the Coronavirus Aid, Relief, and Economic Security Act (CARES Act). To assist our clients in understanding the scale and scope of the regulatory actions, we describe the state of play as we know it today. 

As first discussed in the article by our colleagues Neil ...

About MVA White Collar Defense, Investigations, and Regulatory Advice Blog

As government authorities around the world create a constantly evolving regulatory environment, conduct overlapping investigations, and bring parallel proceedings, companies are facing perhaps the most challenging regulatory and criminal enforcement environment. Moore & Van Allen has created this blog to help keep our clients up to date in these fast-moving areas and to serve as a thought leader as regulations and enforcement policy continue to develop. Our blog is a combined effort of Moore & Van Allen’s White Collar Defense and Investigations Team and our Financial Regulatory Advice and Response Team.

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