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Bank Regulatory Library

Bank Regulatory Library

We have prepared the following publications on bank regulatory matters. If you wish to review any of these items, they are available by clicking on the relevant title below. To jump to a specific section, click on the section title. These publications are only intended to be a general discussion of the topics covered and should not be construed as legal advice. We would be pleased to provide additional details or advice about specific situations. 

Advertising 
Anti-Money Laundering
   (AML)

Argentine Bonds
Bank Structure
Client Assets
Compensation Practices
Competition

Compliance
Conduct of Business
   (including MiFID)

Consumer Financial
   Protection

Corporate Governance
Corporate Reorganizations, 
   Acquisitions and
   Disposals

Credit Rating Agencies 
Deposits
Derivatives Regulation
Disclosure Requirements
Environmental
Eurozone and Sovereign
   Debt
 
Exchange, Clearing and
   Settlement
Financial Regulation
   Reform

 

 

FSOC
High Frequency Trading
Identity Theft

International Sanctions
Investigations and
   Enforcement

Investment Advisers
Investment Company Act
Investment Funds
Investor Protection

Jobs Act
Market Abuse
MiFID II
Miscellaneous
Payment Services
Prudential Issues
Recovery, Resolution,
   and Insolvency

Regulatory Capital
Regulatory Framework
Research
Securities
Short Selling
Supervision

Tax
Volcker Rule

Advertising

15 Jan 2013

Advertising Rules for Private Funds: A Post-JOBS Act Primer 

5 Sep 2012

JOBS Act: SEC Proposes Rules Allowing General Solicitation and Advertising in Private Placements Under Rule 506 of Regulation D and Rule 144A 

Anti-Money Laundering (AML)

23 Jul 2009 FinCEN Seeks Input to Help Shape Future Anti-Money Laundering Program Requirements for Non-Bank Residential Mortgage Lenders and Originators
2 Dec 2008 U.S. Treasury Proposes Changes to Anti-Money Laundering Regulations 

Argentine Bonds

7 Jan 2013 Don’t Cry for Me Argentine Bondholders: Update of Second Circuit Briefing 
29 Nov 2012 Don’t Cry for Me Argentine Bondholders: The Second Circuit Stays Everything 

Bank Structure

26 Feb 2014

Comparison of New EU Proposals on Proprietary Trading and Ring-fencing Against US, UK, French and German Rules
2 Jan 2014 Volcker Unbound
11 Dec 2013 The Final Volcker Rule Begins to Emerge
10 Dec 2013 The Volcker Rule: A Comparison
9 Dec 2013 Ready for the Volcker Rule? What to Look For
7 Jun 2013 Fed Rewrites Section 716 of Dodd-Frank
6 Mar 2012 The Vickers Report and the UK Government's Response: What the Recommendations Mean for the Future of Banking in the UK
5 Oct 2011 The Vickers Report: What the Recommendations Mean for the Future of Banking in the UK
19 Dec 2013 Vickers Recommendations on Bank Ring-fencing Made Law in the UK
28 May 2013 Too Early to Tell If Dodd-Frank Ends “Too Big To Fail”

Client Assets

19 Feb 2013 The “Hindsight” Principle Does Not Apply to Client Money Claims in UK Broker Insolvencies 
2 Mar 2012 Pivotal UK Supreme Court Ruling on the Protection of Client Monies 
3 Nov 2010 What’s Broken with the UK’s Client Asset and Money Protections and How to Fix It 
23 Dec 2009 More Lessons from Lehman: Protecting Client Assets Held with UK-Incorporated Investment Banking Entities 

Compensation Practices

9 Dec 2013 Nasdaq Proposes Modifications to Compensation Committee Independence Requirements 
1 Mar 2013 The EU Reaches a Deal on the Proposed Ratio Cap on Bank Bonuses
4 Oct 2012 The NYSE and Nasdaq Issue Proposed Rules to Implement the SEC Compensation Committee Independence and Advisor Rules
21 Aug 2012 FSA Proposes to Amend Proportionality Provisions of the Remuneration Code
13 Mar 2012 Consequences of Failures to Make Say-on-Pay Frequency Disclosures on Form 8-K 
6 Apr 2011 Financial Regulatory Agencies Issue Joint Proposed Rules on Compensation
4 Apr 2011 SEC's Proposed Rules on Compensation Committee Independence Largely Follow Provisions of Dodd-Frank
28 Dec 2010 The UK’s Financial Services Authority Issues the Final-Form Remuneration Code
26 Oct 2010 SEC Issues Proposed Rules on Say-on-Pay Voting and Disclosures
17 Aug 2010 Service Provider Compensation Disclosure under Section 408(b)(2) of ERISA
13 Aug 2010 Proposed Changes to the FSA's Remuneration Code
27 Jul 2010 Financial Reform Act: Preparing for Mandatory Say-on-Pay
21 Jul 2010 Financial Reform Act Requires Compensation Clawbacks
15 Jul 2010 Financial Reform Act Brings Significant Executive Compensation Change

Competition

15 Jul 2015 FCA’s Concurrent Competition Powers – Final Guidance and Handbook Amendments Are Published

Compliance

28 Sep 2012 Treating Compliance Fairly: Is Compliance Being Asked To Achieve The Impossible? 

Conduct of Business (including MiFID)

17 May 2012 Italian Interlocking Directorships Rule
20 Oct 2011 A Changing Landscape: The MiFID II Legislative Proposal 

Consumer Financial Protection

12 Apr 2011 The Consumer Financial Protection Bureau: Stand-Up or Stand-Off? 
23 Mar 2011 Consumer Financial Protection: It’s a Smaller World After All 
15 Jul 2009 The Consumer Financial Protection Agency Act of 2009 

Corporate Governance

Jan 2014 Governance & Securities Law Focus: Asia Edition, Jan 2014
24 Jan 2014 Governance & Securities Law Focus: Europe Edition, January 2014
22 Oct 2013 Governance & Securities Law Focus: Asia Edition, Oct 2013
16 Oct 2013 Governance & Securities Law Focus: Europe Edition, October 2013
Jul 2013 Governance & Securities Law Focus: Asia Edition, July 2013
9 Jul 2013 Governance & Securities Law Focus: Europe Edition, July 2013
1 Oct 2012 2012 Corporate Governance Surveys of the 100 Largest US Public Companies
11 Oct 2011 2011 Corporate Governance Surveys of the 100 Largest US Public Companies 
9 Aug 2010 2010 Corporate Governance Surveys of the 100 Largest US Public Companies 
11 Jun 2010 New Corporate Governance Code for the UK

Corporate Reorganizations, Acquisitions and Disposals 

21 Feb 2014 SEC Offers Relief to M&A Brokers
20 Apr 2011 UK Takeover Panel Publishes Draft Rule Changes to the Takeover Code 
26 Oct 2010 Update on the UK Takeover Panel's Review of the Takeover Code 
23 Jun 2010 Review of the UK Takeover Code 

Credit Rating Agencies

18 Nov 2009 EU Regulation on Credit Rating Agencies Comes into Force 
19 Feb 2009 EU and US Developments in the Regulation of Credit Rating Agencies 

Deposits

13 Sep 2013 Preferring Foreign Depositors – The Final Rule
10 Apr 2013 Preferring Foreign Depositors
28 Feb 2013 UK FSA and US FDIC Concerned Over Effects of National Depositor Preference Regimes
15 Jul 2011 Dodd-Frank: Regulation Q Goes the Way of the Model T

Derivatives Regulation

24 Aug 2015 EU Clearing Obligation for Interest Rate Swap Looms
28 May 2015  Update On Third-Country Equivalence Under EMIR
17 Jul 2014 Timing and Scope of EU Clearing Obligation for Derivatives
13 Feb 2014 Initial Swap Trading Requirements Come into Effect—Limited Relief for Packaged Trades and Some EU Facilities
11 Feb 2014 Actions Required For Corporates Under Derivatives Reforms – Europe Update
11 Feb 2014 Actions Required For Hedge Funds Under Derivatives Reforms – Europe Update
11 Nov 2013 Basel III Framework: The Credit Valuation Adjustment (CVA) Charge for OTC Derivative Trades
21 Oct 2013 ESMA Advice on Third-Country Equivalence Under EMIR, II
5 Sep 2013 ESMA Advice on Third-Country Equivalence Under EMIR
5 Aug 2013 Alert: ESMA Consults on Extraterritoriality
30 Jul 2013 Actions Required Under Derivatives Reforms
Jun 2013 Fed Rewrites Section 716 of Dodd-Frank 
6 Jun 2013 CFTC Grants No-Action Relief From Clearing Requirement for Certain Treasury Affiliates
3 Jun 2013 SEC Issues Proposed Rules on Cross-Border Security-Based Swap Activities 
31 May 2013 ISDA March 2013 Dodd-Frank Protocol (a.k.a. Dodd-Frank Protocol 2.0) 
15 Apr 2013 CFTC Swap Reporting No-Action Relief Granted; Other Dodd-Frank Deadlines Approaching 
25 Feb 2013 DOL Provides ERISA Relief for Cleared Swap Transactions with Plans 
8 Feb 2013 OTC Derivatives Regulation and Extraterritoriality III 
28 Dec 2012 CFTC Issues Final Exemptive Order Temporarily Limiting Cross-Border Application of the Swaps Provisions of the Dodd-Frank Act 
14 Dec 2012 A Corporate End-User’s Handbook for Dodd-Frank Title VII Compliance (Version 2.0)
6 Dec 2012 Dodd-Frank: Treasury Exempts FX Swaps and FX Forwards 
5 Sep 2012 OTC Derivatives Regulation and Extraterritoriality II 
5 Sep 2012 Alert: Actions required in light of Derivatives Reforms 
18 Jul 2012 Cross-Border Application of the Swaps Provisions of the Dodd-Frank Act 
16 Jul 2012 CFTC Staff Issues No-Action Letter Permitting Certain CPOs and CTAs to Remain Exempt from Registration Through December 31, 2012 
13 Jul 2012 Swap Dealer, Major Swap Participant and Eligible Contract Participant: SEC and CFTC Adopt Entity Definition Rules 
13 Jul 2012 Dodd-Frank: Derivatives and Lending Limits for US and Foreign Banks 
21 May 12 CFTC Proposes Further Delay in Compliance Dates for Dodd-Frank Derivatives Requirements 
26 Oct 2011 CFTC Extended Relief with Respect to Dodd-Frank Effective Dates for Derivatives 
10 Oct 2011 OTC Derivatives Regulation and Extraterritoriality 
28 Jun 2011 CFTC and SEC Relief with Respect to Dodd-Frank Effective Dates for Derivatives Regulation 
4 May 2011 Dodd‑Frank: Treasury Secretary Proposes to Exempt FX Swaps and Forwards 
27 Apr 2011 Dodd-Frank: CFTC and Prudential Regulators Release Proposed Margin Requirements for Uncleared Swaps 
10 Nov 2010 Proposed US and EU Derivatives Regulations: How they Compare 
29 Sep 2010 A New Panorama for the Clearing and Recording of Over-the-Counter Derivatives in Europe: the Proposed European Market Infrastructure Regulation 
17 Aug 2010 Dodd-Frank Act: Derivatives as Credit Extensions of Banks 
6 Jul 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act: Implications for Derivatives 
23 Apr 2010 The Wall Street Transparency and Accountability Act of 2010 
6 Nov 2009 Impact on OTC Derivatives End Users of US Proposals for Over-the-Counter Derivatives Legislation 
Oct 13 2009 Congress’ Proposals for Over-the-Counter Derivatives Legislation 
14 Aug 2009 Obama Administration Submits Final Legislation to U.S. Congress Regarding Over-the-Counter Derivatives 
29 May 2009 Reminder: New UK Disclosure Regime for Long Positions in CfDs Coming Into Force From 1 June 2009 
18 May 2009 Treasury Proposes New Regulatory Framework for Over-the-Counter Derivatives 

Disclosure Requirements

1 Feb 2012 New German Long and Short Disclosure Regimes 
12 Jul 2011 Dodd-Frank Act Rulemaking: SEC Finalizes Exemptions and Disclosure Requirements for Investment Advisers and Sets Compliance for Early 2012 
22 Oct 2009 FINRA Repeals Rule 312(f) Relating to Recommendation by NYSE Member Firms of Affiliate Securities; Retains Broader Disclosure Requirement 

28 Aug 2009

Court Rules Against the Federal Reserve: Requirement to Disclose Borrower Information 

Environmental

7 Jan 2013 Greater Protection for CO2 Emission Allowances’ Purchasers/Plus de Protection pour Les Acheteurs de Quotas  
8 Nov 2011 Proposed Regulation of EU Emissions Allowances as Financial Instruments 

Eurozone and Sovereign Debt

5 Jul 2012 The Eurozone. What Do You Really Need to Know? 
2 Mar 2012 Greek Restructuring: Why Isn't It (Yet) a Credit Event? 
9 Jan 2012 European Sovereign Debt Crisis: SEC Staff Publishes Disclosure   Guidance       Regarding European Sovereign Debt Exposures 
27 Dec 2011 Sovereign Debt Crisis Causes Germany to Revive and Amend its Phased-Out State Aid Legislation for Financial Institutions 
3 Oct 2011 Euro Rescue Package Backed by German Federal Constitutional Court – German Parliament Approves Plan to Boost the Lending Capacity of the Eurozone Bailout Fund (EFSF) 

Exchange, Clearing and Settlement

6 Jun 2013 CFTC Grants No-Action Relief From Clearing Requirement for Certain Treasury Affiliates 
8 Mar 2010 FINRA Corporate Financing Department Introduces Same-Day Clearance for Non-Exempt Shelf Offerings of Securities 
4 Feb 2010 FINRA Adopts Changes to Financial Responsibility Rules for Carrying or Clearing Members; Creates Additional Obligations for Members Exempt Under Rule 15c3-3(k)(2)(i)
12 Mar 2009 ICE Launches Credit Default Swap Clearinghouse

Financial Regulation Reform

14 Oct 2015 Financial Regulatory Development Focus
6 Oct 2015 Financial Regulatory Development Focus
30 Sep 2015 Financial Regulatory Development Focus
22 Sep 2015 Financial Regulatory Development Focus
16 Sep 2015 Financial Regulatory Developments Focus
9 Sep 2015 Financial Regulatory Developments Focus
2 Sep 2015  Financial Regulatory Developments Focus
25 Aug 2015 Financial Regulatory Developments Focus
18 Aug 2015 Financial Regulatory Developments Focus
11 Aug 2015  Financial Regulatory Developments Focus
5 Aug 2015 Financial Regulatory Developments Focus
28 Jul 2015 Financial Regulatory Developments Focus
21 Jul 2015   Financial Regulatory Developments Focus
16 Jul 2015  Financial Regulatory Developments Focus 
8 Jul 2015  Financial Regulatory Developments Focus 
1 Jul 2015  Financial Regulatory Developments Focus 
24 Jun 2015  Financial Regulatory Developments Focus 
17 Jun 2015  Financial Regulatory Developments Focus 
10 Jun 2015  Financial Regulatory Developments Focus 
3 Jun 2015  Financial Regulatory Developments Focus 
20 May 2015  Financial Regulatory Developments Focus 
13 May 2015  Financial Regulatory Developments Focus
5 May 2015  Financial Regulatory Developments Focus 
29 Apr 2015  Financial Regulatory Developments Focus 
21 Apr 2015  Financial Regulatory Developments Focus 
14 Apr 2015  Financial Regulatory Developments Focus 
8 Apr 2015  Financial Regulatory Developments Focus 
31 Mar 2015 Financial Regulatory Developments Focus
24 Mar 2015 Financial Regulatory Developments Focus
17 Mar 2015 Financial Regulatory Developments Focus
11 Mar 2015 Financial Regulatory Developments Focus
18 Feb 2015  Financial Regulatory Developments Focus
11 Feb 2015 Financial Regulatory Developments Focus
03 Feb 2015 Financial Regulatory Developments Focus
28 Jan 2015 Financial Regulatory Developments Focus
21 Jan 2015 Financial Regulatory Developments Focus
13 Jan 2015 Financial Regulatory Developments Focus 
30 Dec 2014 Financial Regulatory Developments Focus
23 Dec 2014 Financial Regulatory Developments Focus
16 Dec 2014  Financial Regulatory Developments Focus
9 Dec 2014  Financial Regulatory Developments Focus 
3 Dec 2014  Financial Regulatory Developments Focus 
25 Nov 2014 Financial Regulatory Developments Focus 
19 Nov 2014 Financial Regulatory Developments Focus
11 Nov 2014  Financial Regulatory Developments Focus 
5 Nov 2014 Financial Regulatory Developments Focus  
29 Oct 2014 Financial Regulatory Developments Focus 
22 Oct 2014 Financial Regulatory Developments Focus
15 Oct 2014 Financial Regulatory Developments Focus
8 Oct 2014  Financial Regulatory Developments Focus
16 Sep 2014 Financial Regulatory Developments Focus
10 Sep 2014 Financial Regulatory Developments Focus
2 Sep 2014 Financial Regulatory Developments Focus
27 Aug 2014 Extraterritoriality Revisited: Access to the European Markets by Financial Institutions, Funds and Others from Outside Europe
26 Aug 2014 Financial Regulatory Developments Focus
20 Aug 2014 Financial Regulatory Developments Focus
12 Aug 2014 Financial Regulatory Developments Focus
5 Aug 2014 Financial Regulatory Developments Focus
31 Jul 2014 Financial Regulatory Developments Focus 
23 Jul 2014 Financial Regulatory Developments Focus
15 Jul 2014 Financial Regulatory Developments Focus
9 Jul 2014 Financial Regulatory Developments Focus
25 Jun 2014 Financial Regulatory Developments Focus
17 Jun 2014 Financial Regulatory Developments Focus
11 Jun 2014 Financial Regulatory Developments Focus
3 Jun 2014 Financial Regulatory Developments Focus
27 May 2014 Financial Regulatory Developments Focus
6 May 2014 Financial Regulatory Developments Focus
29 Apr 2014 Financial Regulatory Developments Focus
22 Apr 2014 Financial Regulatory Developments Focus
15 Apr 2014 Financial Regulatory Developments Focus 
8 Apr 2014 Financial Regulatory Developments Focus
1 Apr 2014 Financial Regulatory Developments Focus
25 Mar 2014 Financial Regulatory Developments Focus
18 Mar 2014 Financial Regulatory Developments Focus
12 Mar 2014 Dodd-Frank: Enhanced Supervision Becomes Final
11 Mar 2014 Financial Regulatory Developments Focus
4 Mar 2014 Financial Regulatory Developments Focus
4 Mar 2014 Recent Diversity Mandates Impacting US Financial Regulators and Financial Institutions on Both Sides of the Atlantic

25 Feb 2014

Financial Regulatory Developments Focus

18 Feb 2014

Financial Regulatory Developments Focus
11 Feb 2014 Financial Regulatory Developments Focus
4 Feb 2014 Financial Regulatory Developments Focus
28 Jan 2014 Financial Regulatory Developments Focus
20 Dec 2013 FDIC Board Releases Single Point of Entry Resolution Strategy for Public Comment
25 Oct 2013 Dodd-Frank: The Liquidity Proposal Is Issued
18 Dec 2012 Dodd-Frank: The Fed’s Proposal for Enhanced Supervision of Foreign Banks
10 Jul 2012 'Real Economy' in the Focus of Financial Regulation 
4 Jan 2012 Tightening the Limits on Big US Banks 
Aug 2011 Developments in Asset-Backed Securitization since Dodd-Frank: An Assessment of the Regulatory Landscape 
18 Apr 2011 New York State Makes Structural Changes to State Bank Regulatory System 
Jul 2010 Landmark Financial Regulatory Reform Legislation Passed By U.S. Congress 
7 Jun 2010 UK Government Proposals for Financial Regulatory Reform 
26 Apr 2010 Global Financial Regulatory Reform Proposals: An Overview (v2) 
2 Apr 2010 U.S. Senate Banking Committee Approves a Sweeping Financial Regulatory Reform Bill
24 Mar 2010 Global Financial Regulatory Reform Proposals: An Overview 
11 Dec 2009 Finance Partners Author Chapter in Book, Global Financial Crisis: Navigating and Understanding the Legal and Regulatory Aspects 
2 Oct 2009 Governmental Assistance to the Financial Sector: an Overview of the Global Responses (v9)
29 Jul 2009 Obama Administration Submits Additional Legislation to U.S. Congress 
24 Jul 2009 Obama Administration Delivers Proposed Bank and Financial Services Reform Legislation to U.S. Congress 
24 Jul 2009 Governmental Assistance to the Financial Sector: an Overview of the Global Responses (v8)
23 Jun 2009 U.S. Financial Regulatory Reform – Implications for Banking Institutions 
8 May 2009 Governmental Assistance to the Financial Sector: an Overview of the Global Responses (v7)
9 Apr 2009 Governmental Assistance to the Financial Sector: an Overview of the Global Responses (v6)
24 Mar 2009 Turner Review: Proposals for UK and International Regulatory Reform 
27 Feb 2009 Governmental Assistance to the Financial Sector: an Overview of the Global Responses (v5)
23 Jan 2009 Governmental Assistance to the Financial Sector: an Overview of the Global Responses (v4)
19 Dec 2008 Governmental Assistance to the Financial Sector: an Overview of the Global Responses (v3) 
26 Nov 2008 Governmental Assistance to the Financial Sector: an Overview of the Global Responses (v2)
12 Nov 2008 Government Assistance to the Financial Sector: an Overview of the Global Response 
21 Oct 2008 Financial Institutions in a Time of Global Market Turbulence 
FSOC 
8 May 2013 The FSOC’s Annual Report Suggests Potential Paths Forward 
26 May 2011 Financial Stability Oversight Council: All New or Deja Vu? 
30 Mar 2011 Greetings! We’re from the Fed and We’re Here to Supervise You 
24 Jan 2011 FSOC Study on Implementing the Volcker Rule — A Series of Missed Opportunities and Some Surprises 

High Frequency Trading 

10 Oct 2012 Update: German Government Adopts Draft Legislation to Regulate High Frequency Traders and Algorithmic Trading Strategies on German Trading Venues 
2 Aug 2012 “Speed Limit” for High Frequency Traders 

Identity Theft

10 May 2013 SEC and CFTC Take Over Responsibility for “Red Flags” Identity Theft Rules and Provide Clarifications 

International Sanctions 

22 Apr 2015  Sanctions Round-Up: First Quarter 2015 
7 Jan 2014 Sanctions Round-Up: Fourth Quarter 2013
4 Nov 2013 Iran Notices Update: SEC-Registered Issuers Continue to Adapt to Their New Normal
8 Oct 2013 Sanctions Round-Up: Third Quarter 2013
12 Jul 2013 Sanctions Round-Up: Second Quarter 2013
30 May 2013 US Extraterritorial Sanctions Targeting Non-US Insurers for Iran-Related Activities 
22 Apr 2013 Sanctions Round-Up: First Quarter 2013 
14 Feb 2013 Flash Report: Section 219 Disclosures Under the Iran Threat Reduction and Syria Human Rights Act of 2012 
7 Jan 2013 Sanctions Round-Up: Fourth Quarter 2012 
17 Dec 2012 The Iran Threat Reduction and Syria Human Rights Act of 2012 – How Are You Planning to Comply with Section 219’s New Reporting Requirements? 
6 Dec 2012 SEC Publishes CD&Is for Iran Sanctions Disclosures Required Under Exchange Act Section 13(r) 
8 Nov 2012 Section 219 of the Iran Threat Reduction and Syria Human Rights Act of 2012 – Additional Reporting Requirements for US Domestic and Foreign Issuers Registered with the SEC 
25 Oct 2012 President Obama Issues Executive Order Authorizing Imposition of Sanctions on Non-US Persons Who Transact with Iran 
9 Feb 2012 US and EU Amplify Sanctions Pressure on Iran While US Senate Committees Propose Legislation Requiring Companies to Disclose Their Iranian Business Dealings 
10 Jan 2012 US Ratchets up Economic Sanctions Targeting Iran’s Central Bank and Its Crude Oil Exports 

Investigations and Enforcement 

Jan 2014 SEC Enforcement Year in Review - 2013
13 May 2013 FCPA Broker-Dealer Case Highlights Compliance Risks for Financial Institutions 
27 Jul 2011 FDIC Rule Permits Compensation Recoupment from Executives of Failed Financial Firms 
20 Jan 2011 Shearman & Sterling's Recent Trends and Patterns in the Enforcement of the Foreign Corrupt Practices Act (FCPA) / FCPA Digest 

Investment Advisers

22 Aug 2013 CFTC Adopts Harmonization Rules for CPOs of Registered Investment Companies
19 Feb 2013 Investment Advisers Act Compliance Developments in 2013 
18 May 2011 SEC Proposes to Update Investment Adviser Performance Fee Rules 
30 Nov 2010 Dodd-Frank Act Rulemaking: SEC Proposes New Exemptions and Disclosure Requirements for Investment Advisers 
27 Sep 2010 With Eye on New Applicants, SEC Overhauls Registration Form For Investment Advisers... And Misses an Opportunity 

Investment Company Act

22 Aug 2013 CFTC Adopts Harmonization Rules for CPOs of Registered Investment Companies
26 Mar 2012 Investment Company Act Status of Non-U.S. Issuers – Updated Commentary on Book-Entry Deposit Procedures under Section 3(c)(7) of the Investment Company Act 

Investment Funds

22 Aug 2013 CFTC Adopts Harmonization Rules for CPOs of Registered Investment Companies
17 Jul 2013 As the Deadline Approaches…AIFMD: Marketing by Non-EEA Managers
24 Jun 2013 Application of the AIFMD to Non-EU Alternative Investment Fund Managers
14 Jan 2013 AIFMD “Level 2” Published – Time to Get Moving!
28 Sep 2012 JOBS Act: Proposed SEC Rules Would Dramatically Change Marketing Landscape for Hedge Funds 
19 Jul 2012 China Securities Regulatory Commission Proposes to Lower QFII Threshold 
18 Jul 2012 China NDRC Denies the “National Treatment” for RMB Funds with Foreign GPs 
12 Dec 2011 European Regulation of Fund Managers: ESMA’s Final “Level 2” Advice Published 
12 May 2011 Treatment of a Hedge Fund's Claims Against and Other Exposures To a Covered Financial Company Under the Orderly Liquidation Authority Created by the Dodd-Frank Act 
28 Apr 2011 Under Rubric of Systemic Risk, Joint SEC-CFTC Proposal Would Dramatically Expand Reporting by Private Fund Managers 
12 Nov 2010 European Regulation of Fund Managers: AIFM Directive Agreed and Adopted
Oct 2010 Buying a Private Fund Manager: An Overview of Legal Issues 
14 Jul 2010 Private Fund Manager Regulation: US and European Initiatives Compared 
18 Jun 2010 Update on the Proposed AIFM Directive 
14 Dec 2009 U.S. Legislative Update: Why Real Estate Fund Managers Should Monitor Congressional Bills Targeted at Hedge Funds 
8 Dec 2009 Update on the Proposed European AIFM Directive: Council and Parliament Publish Draft Amendments 
25 Sep 2009 Update on the European Directive to Regulate Alternative Investment Fund Managers 
5 May 2009 Updated: New European Proposals for the Regulation of Alternative Investment Fund Managers 
1 May 2009 New European Proposals for the Regulation of Alternative Investment Fund Managers 
22 Apr 2009 Draft European Directive on Alternative Investment Fund Managers 
25 Mar 2009 Public-Private Investment Program: Cleansing Bank Balance Sheets 

Investor Protection

7 Jan 2010 SEC Amends Investment Adviser Custody Rules 
13 Oct 2009 U.S. Legislative Proposal: House Committee on Financial Services Releases Draft Investor Protection Act 
22 Jul 2009 Obama Administration Proposes Investment Adviser Legislation to U.S. Congress 
23 Jun 2009 U.S. Financial Regulatory Reform – Investment Advisory Proposals 

Jobs Act

17 Apr 2012 SEC Division of Corporation Finance Addresses JOBS Act Questions 
17 Apr 2012 JOBS Act: Focus on Foreign Private Issuers 
Apr 2012 JOBS Act Signed Into Law 
Apr 2012 The JOBS Act: Changes to Existing Law / A Blackline and Annotated Reference Guide 
Mar 2012 JOBS Act Will Ease Rules for IPOs and Private Placements and Reduce Compliance Burdens Post IPO 

Market Abuse

21 Dec 2011 Twice as MAD: Legislative Proposals to Amend the European Regulation of Market Abuse 
25 Jun 2010 The UK and the US Market Abuse Divide: the Winterflood Appeal and Other Developments 
5 Feb 2010 The Spector Photo Case: ECJ Rules on the Interpretation of the Market Abuse Directive 
MiFID II
20 Oct 2014 MiFID II - Transaction Reporting 
15 Oct 2014 MiFID II: Commodity Derivatives and Emissions
9 Oct 2014 MiFID II: The Regulation of Market Makers
20 Oct 2011 A Changing Landscape: The MiFID II Legislative Proposal

Miscellaneous

24 May 2012 The Fed Approves China 
20 Apr 2012 Shipowners' Limitation of Liability 
26 Oct 2010 Mortgage Lending Practice after the Dodd-Frank Act 
5 Jan 2009 Opening the Vault: Banking Sector Liberalization in India 
13 Nov 2009 U.S. Federal Banking Agencies Issue a Policy Statement on Commercial Real Estate Loan Workouts 
Apr 2008 Report from SIFMA’s 40th Annual Compliance and Legal Division Seminar: FINRA Officials Provide an Update on the NASD – NYSE Merger 
1 Dec 2005 International Trade In Banking Services and the Role of the WTO 

Payment Services

24 Sep 2009 New Regime for the Regulation of Payment Services in Europe 

Prudential Issues

1 Feb 2010 Translating ‘Macro-Prudential Supervision’ Principles Into Law 

Recovery, Resolution, and Insolvency

20 Dec 2013 FDIC Board Releases Single Point of Entry Resolution Strategy for Public Comment
28 May 2013 Too Early to Tell If Dodd-Frank Ends “Too Big To Fail”
21 Nov 2012 Clearing Houses Joined as Parties in MF Global Dispute at the High Court in London 
3 Oct 2012 Shipshape Banks – Shipping Has A Lesson For Bank Resolution 
1 Aug 2012 Lesson from Lehman Brothers for Hedge Fund Managers: The Effect of a Bankruptcy Filing on the Value of the Debtor’s Derivative Book 
21 Oct 2011 Preparing for the Big ‘What‑Ifs’ of Corporate Life: The Final ‘Living Wills’ Requirements for Large Financial Institutions
31 May 2011 US and EU Bank 'Living Will' Proposals
9 May 2011 2010 Bankruptcy Law: The Year in Review 
26 May 2010 Financial Institution Recovery and Resolution Plans
30 Nov 2009 Lehman Brothers: English Court Rejects Proposed Scheme of Arrangement; Administrators Propose 'Claim Resolution Agreement' as an Alternative 
1 Oct 2009 Holding Financial Assets with UK Financial Institutions: Lessons from Lehman, Global Trader and the Financial Crisis 
1 Sep 2009 Structuring Private Equity Investments in Failed U.S. Banks Under the New FDIC Statement and the Bank Holding Company Act 
14 Nov 2008 Dealings with UK Banks – new issues for their creditors 

Regulatory Capital

8 Dec 2014  TLAC: An Additional Capital Requirement for G-SIBs
1 Dec 2014  Enhanced Leverage Ratios for UK Financial Institutions 
16 Jun 2014 Basel III Framework: Large Exposures
5 Feb 2014 Basel III Framework: The Leverage Ratio
11 Nov 2013 Basel III Framework: The Credit Valuation Adjustment (CVA) Charge for OTC Derivative Trades
25 Oct 2013 Dodd-Frank: The Liquidity Proposal Is Issued
17 Sep 2013 Basel III Framework: US/EU Comparison
3 May 2013 Basel Developments: A Renewed Focus on Credit Risk Mitigation Transactions and Regulatory Capital Arbitrage 
18 Oct 2012 Implementation of the Basel III Framework: Comparison of US and EU Proposals 
30 Mar 2011 The New Basel III Framework: Implications for Banking Organizations 
22 Mar 2011 The Loss Absorbency Requirement and “Contingent Capital” Under Basel III 
29 Apr 2009 FSA Proposals for New Bank / Investment Firm Liquidity Reporting Regime 

Regulatory Framework

17 Nov 2014  Banking Supervision Within the Eurozone: The Single Supervisory Mechanism 
4 Apr 2013 New UK Financial Services Regulators Established and New Rulebooks Come into Effect 
28 Sep 2012 Market Sounding Undertaken by Financial Institutions / Sondages de marché réalisés par les établissements financiers
26 Sep 2011 The Proposed Restructuring of the UK Financial Regulatory Framework 
18 Apr 2011 New York State Makes Structural Changes to State Bank Regulatory System
5 Apr 2011 Reforming the Framework for Financial Regulation in the UK 
10 Mar 2011 SEC and CFTC Joint Rulemakings Under Dodd-Frank—A Regulatory Odd Couple? 
18 Oct 2010 The New EU Financial Supervisory Architecture 
21 Jun 2010 The UK Government Proposes to Change the Architecture of the UK's Financial Regulatory System 
13 Apr 2010 The FSA Successfully Appeals a Decision which Restricted its Powers to Meet Requests for Assistance from the SEC and Other Foreign Regulators 
20 Nov 2009 Misuse of FSA Powers to Support SEC Investigations 

Research

22 Mar 2012 FINRA Releases Revised Proposal on Fixed‑Income Research Reports 
27 Apr 2011 FINRA Releases Concept Proposal on Fixed-Income Research Reports 
1 Jul 2005 Amendments to NASD and NYSE Research Rules Prohibiting Research Analyst Participation in Road Shows Take Effect 

Securities

US Broker-Dealer and Market Regulation Library

13 Feb 2014 FINRA Proposes Amendment to Corporate Financing Rule and Conflict of Interest Rule
Jan 2014 Governance & Securities Law Focus: Asia Edition, Jan 2014
24 Jan 2014 Governance & Securities Law Focus: Europe Edition, January 2014
6 Dec 2013 SEC Approves Amendment to FINRA IPO Allocation Rule 5131, Easing Compliance for Fund Investors
22 Oct 2013 Governance & Securities Law Focus: Asia Edition, Oct 2013
16 Oct 2013 Governance & Securities Law Focus: Europe Edition, October 2013
18 Jul 2013 FINRA Proposes to Publicly Disseminate Transaction Information Regarding Rule 144A Corporate Debt Securities
Jul 2013 Governance & Securities Law Focus: Asia Edition, July 2013
12 Jul 2013 SEC Adopts Rule Changes Allowing General Solicitation in Private Placements Under Rule 506 of Regulation D and Rule 144A
9 Jul 2013 Governance & Securities Law Focus: Europe Edition, July 2013
25 Jun 2013 Private Placement Update: FINRA Proposes Form of Electronic Filing for Private Placements Under Rule 5123
13 Mar 2012 Consequences of Failures to Make Say-on-Pay Frequency Disclosures on Form 8-K 
4 Apr 2011 SEC's Proposed Rules on Compensation Committee Independence Largely Follow Provisions of Dodd-Frank 
13 Oct 2010 SEC Approves FINRA Rule Regarding IPO Allocation Practices 
25 Mar 2010 FINRA Amends 2002 Proposal Regarding IPO Allocation 
23 Jun 2009 SEC Approves FINRA Amendments to Conflict of Interest Rules for Securities Offerings 
9 Nov 2007 Investment entities — new London Listing Rules and introduction of London Specialist Fund Market 

Short Selling

24 Jul 2012 Update: Spain and Italy Introduce Emergency Short Selling Restrictions
1 May 2012 Selling Themselves Short: EU Enacts Regulation Banning Naked Short Sales and Sovereign Debt CDS 
13 Jul 2011 New Italian Disclosure Reporting Regime Aims to Rein In Short-Selling Amid Market Turbulence 
27 Sep 2010 New European Proposals on Short Selling 
15 Mar 2010 CESR Model for a Permanent Pan-European Short Selling Disclosure Regime 
24 Sep 2008 FSA’s measures against short selling – a briefing note 
18 Jun 2008 Emergency UK provisions requiring disclosure of short positions in relation to rights issues in UK-listed companies 
Oct 2006 SEC Approves Changes to NYSE Rule 312(f) Relating to Recommendation by NYSE Member Firms of Affiliate Securities 

Supervision

12 Mar 2014 Dodd-Frank: Enhanced Supervision Becomes Final
22 Aug 2013 Another Dodd-Frank Tax on Size: The Fed Charges for Big-Bank Supervision
18 Dec 2012 Dodd-Frank: The Fed’s Proposal for Enhanced Supervision of Foreign Banks
10 Jun 2010 The Bank Regulators' New Guidance on Management of IRR and CRE Loan Workouts 
27 Mar 2008 At the Close of the Investigation that Started It All, an Update on FINRA’s Gift and Entertainment Rulemaking 

Tax 

19 Feb 2013 European Commission Proposes Rules for 11 Member State Financial Transaction Tax 
20 Mar 2012 The French Financial Transaction Tax: A Sign of Things to Come? 
11 Dec 2009 New UK Bank Payroll Tax - A Partial Response by the UK Government to "Excessive Risk-Taking" by the Banking Industry 

Volcker Rule

11 Dec 2013 The Final Volcker Rule Begins to Emerge
10 Dec 2013 The Volcker Rule: A Comparison
9 Dec 2013 Ready for the Volcker Rule? What to Look For
24 Feb 2012 The Comment Period Closes: What’s Next for the Volcker Rule? 
24 Apr 2012 Dodd-Frank’s Volcker Rule: The Federal Reserve Clarifies the Deadline for Compliance but It’s Not a Ticket to Ride 
27 Oct 2011 In the Eye of the Beholder: The Volcker Rule Proposal and What It Means 
10 Oct 2011 The Leaked Staff Drafts: New Volcker Rule-Related Concerns for Non-US Banks 
22 Jul 2011 Dodd-Frank: The GAO Struggles with the Volcker Rule 
19 Oct 2010 Financial Regulatory Reform Update: The Volcker Rule Continues to Garner Outsized Attention in the Wake of Passage of Financial Reform Legislation 
8 Jun 2010 Financial Regulatory Reform Update: The Volcker Rule Looms Large Over Asset Management and Fund Investment Activities of Financial Institutions 
17 Feb 2010 Understanding the Significance of the Obama Administration’s Proposed “Volcker Rules” 

 

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