For banks, insurance companies and securities firms preparing to capitalize on the rapidly accelerating trend towards financial services convergence, the possibilities are virtually endless. Unfortunately, so is the list of Federal laws and regulations with which they will have to contend on their way to entering and succeeding in a new sector.
How can you help your company or client effectively navigate the regulatory maze and clear the hurdles inherent to cross-sector mergers, acquisitions and new product or service introductions? Aspen Publishers' Banking and Financial Services: Banking, Securities and Insurance Regulatory Guide will help you comply with all the requirements.
Up-to-date with the latest wave of agency rulings and releases, the Guide cuts through much of the confusion associated with the Gramm-Leach-Bliley Act and spotlights the points where key banking, insurance and securities regulations intersect. You'll be fully briefed not only on regulatory content but, more importantly, on how the regulations interact with each other and how this interaction may bolster or hinder specific business strategies.
The Guide helps you develop and implement a convergence strategy that fully reflects the current regulatory and supervisory landscape. Author Melanie Fein provides clear, practical commentary to help you evaluate the options and ultimately decide which financial service markets, products and partners are most viable for your company or your clients.
As key agencies - including the SEC, the FDIC, the Federal Reserve Board and the Comptroller of the Currency - increase their focus on supervision and enforcement, it is essential that your company or clients steer clear of common but potentially serious regulatory pitfalls. Turn to the Guide to quickly discover which activities are off limits to which entities, what little-known regulations can lead to big problems, and more.
Table of contents includes:
 The Financial Services Revolution: An Overview;
The Financial Services Industry;
The Bank Regulatory Framework;
Deposit Activities;
Lending Activities;
Bank Holding Company Regulation;
Financial Activities;
Bank Transactions with Affiliates;
Banking Supervision and Enforcement;
Securities Regulation;
Broker-Dealer Regulation;
Investment Adviser Regulation;
Mutual Fund Activities;
Bank Securities Activities;
Bank Fiduciary Activities;
Insurance Regulation;
Banking and Insurance;
Foreign Banks in the United States;
Antitrust;
Community Reinvestment;
Consumer Regulation and Privacy.
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