Archive
Dodd-Frank and Related Reforms

Regulatory Reform – News and Resources - Archive

Implementation Status
Volcker Rule
Living Wills and Orderly Liquidation
Regulatory Capital and Basel III Framework
Derivatives Regulation
Securitization and Securities

Client Alerts, Articles, Related Resources and Presentations

Financial Institutions and Regulatory Reform
Broker-Dealers
Employee and Executive Compensation
Mortgages
Additional Presentations
Regulation of Private Funds
Whistleblowers
Credit Rating Agency Reform
Regulatory Developments in Europe
Foreign Banks
Consumer Protection

Implementation Status

See Newer Items

Financial Institutions and Regulatory Reform

Client Alerts and Articles

12/2011 Market Solutions, Vol. 20, No. 4, Financial Markets Association (reprinted with permission).
9/2011 Market Solutions, Vol. 20, No. 3, Financial Markets Association (reprinted with permission).
7/22/2011 FTC Rescinds FCRA Commentary in Handoff to CFPB
7/15/2011 Federal Reserve and FTC Publish Final Credit Score Disclosure Rules
6/2011 Market Solutions, Vol. 20, No. 2, Financial Markets Association (reprinted with permission).
5/23/2011 Federal Reserve Board Proposes New Regulatory Scheme for Remittance Transfers
5/16/2011 Savings and Loan Holding Companies: Supervision by the Federal Reserve Board
3/14/2011 Proposed Budget Cuts to FinCEN's "Project Gateway
3/2011 Market Solutions: Vol. 20, No. 1, Financial Markets Association. Used by permission.
2/10/2011 FDIC Approves Final Rule of Assessments, Dividends, Assessment Base and Large Bank Pricing
2/2/2011 AmericanWest Bancorporation: How a Section 363 Sale in Bankruptcy Provides a Viable Recapitalization Option for Troubled Banks
1/3/2011 A Return to Simplicity Paved with Complexity, Bloomberg Banking & Finance Report, Vol. 4, No. 1. Used by permission.
12/2010 Market Solutions: Vol. 19, No. 4, Financial Markets Association. Used by permission.
6/28/2010 More on Regulatory Reform
6/25/2010 Reconciliation: A Summary Scorecard on Regulatory Reform (Part II)
6/24/2010 Reconciliation: A Summary Scorecard on Regulatory Reform (Part I)
5/3/2010 New Q&As on the Statement of Policy on Qualifications for Failed Bank Acquisitions, April 23, 2010
4/2010 International Briefings: Proprietary Trading by Anna Pinedo and James Tanenbaum
First published in International Financial Law Review. Used by permission.
3/15/2010 SEC Approves Money Market Fund Reform to Better Protect Investors
11/16/2009 SEC Proposes Regulation of Dark Pools
11/13/2009 What Counts? An Update on the Debate Concerning Regulatory Capital
9/18/2009 Federal Reserve Issues Policy on Consumer Compliance Supervision for Nonbank Subsidiaries of Bank Holding Companies and Foreign Banking Organizations
9/4/2009 Enhanced Supervisory Procedures for Newly-Insured FDIC-Supervised Institutions
8/31/2009 FDIC Final Statement of Policy on Qualifications for Failed Bank Acquisitions
7/7/2009 FDIC Issues Proposed Guidelines Restricting Private Equity Investments in Failed Banks
7/5/2009 Proposed Interagency Guidance on Funding and Liquidity Risk Management
9/23/2008 Federal Reserve Board Liberalizes Rules for Investments in Banks

See Newer Items

Volcker Rule

Client Alerts and Articles

See Newer Items

Living Wills and Orderly Liquidation

Client Alerts and Articles

See Newer Items

Derivatives Regulation

Client Alerts and Articles

11/10/2011 Are We There Yet? Progress on International OTC Derivatives Reform
10/31/2011 Higher, Wider, Deeper: EU Commission Publishes MiFID II and MiFIR Proposals
9/6/2011 Securities and Exchange Commission Tackles Fund Use of Derivatives
7/15/2011 International Reform of OTC Derivative Regulation: How Level Is The Playing Field?
12/30/2010 2010 Derivatives Rulemaking Wrap-Up
12/13/2010 Fraud, Manipulation and Deception: CFTC and SEC Proposed Rules
10/28/2010 Recent Action by the Department of the Treasury Regarding Foreign Exchange Swaps and Foreign Exchange Forwards
6/29/2010 Structured Thoughts: News for the financial services community
3/26/2010 SEC Staff to Evaluate Use of Derivatives by Funds
7/2009 The Standard-Bearer by Anna Pinedo and James Tanenbaum
First published in Financier Worldwide July 2009. Used by permission.
6/2009 Credit Derivatives: Recent Regulatory Developments in the United States by David Kaufman and David Trapani
First published in Futures & Derivatives Law Report June 2009. Used by permission.
4/20/2009 Credit Derivatives: Recent Regulatory Developments

See Newer Items

Broker-Dealers

Client Alerts and Articles

See Newer Items

Regulatory Capital and Basel III Framework

Client Alerts and Articles

8/22/2011 CRD4 – Maximum Harmonisation but Minimal Harmony?
8/12/2011 Defining Global Systemically Important Banks and Additional Loss Absorbency Requirements
8/5/2011 UK Treatment of Capital Instruments Under Basel III – A Taxing Issue
7/29/2011 Basel Pillar 3 Disclosure Requirements for Remuneration
6/22/2011 Basel Committee Revises Basel III on the Capital Treatment for Bilateral Counterparty Credit Risk
6/13/2012 The Federal Banking Agencies' Regulatory Capital Proposals - A Summary
4/2011 Possible Structures to Address Bail-In Proposals
1/21/2011 The Minimum "Bail-in" Criteria for Regulatory Capital
1/3/2011 A Return to Simplicity Paved with Complexity, Bloomberg Banking & Finance Report, Vol. 4, No. 1. Used by permission.
12/23/2010 Basel III: The (Nearly) Full Picture
10/25/2010 BCBS Principles for Enhancing Corporate Governance
10/2010 Dodd-Frank and the Capital Markets by Anna Pinedo and James Tanenbaum. Published in Financier Worldwide. Used by permission.
9/15/2010 The New Global Minimum Capital Standards Under Basel III
8/25/2010 Super-Absorbent Bank Regulatory Capital
8/6/2010 A Little Bit Less and a Bit Longer: Update on Basel Capital and Liquidity Reforms
2/2/2010 More, More, More: A Summary of the Basel Proposals
1/25/2010 Banking Agencies Issue Final Regulatory Capital Rule Related to FAS 166 167
11/13/2009 What Counts? An Update on the Debate Concerning Regulatory Capital

See Newer Items

Employee and Executive Compensation

Client Alerts

See Newer Items

Mortgages

Client Alerts

See Newer Items

Private Funds

Client Alerts and Articles

11/15/2011 Form PF: Systemic Risk Reporting for Private Fund Advisers
9/6/2011 Securities and Exchange Commission Tackles Fund Use of Derivatives
7/28/2011 SEC Proposes Rules Amending the "Qualified Client" Standard and Issues Final Order Revising Dollar Amount Tests
7/28/2011 An Analysis of the SEC's Implementation of Title IV of the Dodd-Frank Act
7/19/2011 Advisor Exemptions and Implementation
6/24/2011 SEC Implements Advisers Act Provisions of Dodd-Frank; Extends Investment Adviser Registration Deadlines
3/4/2011 Investment Adviser Registration for Private Equity Fund Managers
3/2011 A Revised Net Worth Standard for Accredited Investors
2/2011 Real Estate Fund Structuring: The Impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act by Kenneth Muller and Seth Chertok. Reproduced with permission from PREA Quarterly.
1/25/2011 SEC Proposes Amendments to Its Net Worth Standard for Accredited Investors
1/24/2011 The Impact of Title IV of the Dodd-Frank Act on Investment Advisers by Kenneth Muller and Seth Chertok. Reproduced with permission from Bloomberg Finance L.P.
1/2011 SEC Implements Advisers Act Provisions of Dodd-Frank Act by Kenneth Muller and Seth Chertok. Reproduced with permission from INSIGHTS.
12/2010 The SEC's Proposed Rule Regarding the Family Offices Exemption by Kenneth Muller and Seth Chertok. Reproduced with permission from Bloomberg Finance L.P.
11/29/2010 Give Risk a Chance (Venture Funds)
10/15/2010 All in the Family: Family Offices
7/19/2010 Changes in Registration and Reporting Requirements for Private Funds under the Investment Advisers Act of 1940 in the Dodd-Frank Act
6/14/2010 An Examination of the Private Equity Proposals in the Senate Reform Bill by Kenneth Muller and Seth Chertok
Reproduced with permission from Securities Regulation & Law Report.
2/25/2010 Structured Thoughts: Update on the Proposed AIFM Directive

See Newer Items

Whistleblowers

See Newer Items

Securitization and Securities

Client Alerts

9/6/2011 Securities Holding Companies – Registration Rules Proposed by Federal Reserve
9/29/2011 SEC Proposes Dodd-Frank Conflicts of Interest Rules
9/1/2011 Commission Suggests Tighter Restrictions on REITs and ABS
8/1/2011 ABS Shelf Eligibility Re-Proposal
6/10/2011 Credit Risk Retention Rule Comment Period Extended
5/31/2011 Mortgage REITs Poised to Benefit from Role in Emerging Housing Finance Market
5/25/2011 Impact of Dodd-Frank's Risk Retention Rules on CLOs: Regulatory Agencies' Failure to Account for Crucial Differences among Asset Classes has Potential to Stunt CLO Market, Causing Real Harm to Commercial Lending Markets
5/10/2011 Transatlantic Navigation of Securitization Reforms: A Guide
4/7/2011 U.S. Retained Credit Risk Rules Take Shape
3/1/2011 Lehman Brothers Flip Clause Appeal Set to Be Heard Before UK Supreme Court
2/28/2011 Flip Flop on Flip Clauses Continues by Elana Hahn. Reproduced with permission from Total Securitization
3/16/2011 The Obama Administration's Housing Finance Reform Proposal: Opportunity for the Private Markets
2/4/2011 Securitization Update
10/15/2010 …In Other Securitization News
10/5/2010 FDIC Issues Final Safe Harbor Rule
10/2010 Dodd-Frank and the Capital Markets by Anna Pinedo and James Tanenbaum. Published in Financier Worldwide. Used by permission.
7/21/2010 Dodd-Frank Act Securitization Reform; New SEC ABS Office
6/29/2010 Conference Committee Securitization Reform
5/14/2010 FDIC Issues Notice of Proposed Rulemaking on Securitization Safe Harbor; Seeks Comments on Securitization Reforms
4/20/2010 Historic Changes Proposed for ABS Offering Rules
3/19/2010 FDIC Extends Securitization Safe Harbor Yet Again; Gains More Time to Further Consider Securitization Reforms
3/18/2010 Proposed Securitization Reforms Under the Revised Financial Reform Bill in the U.S. Senate
12/23/2010 CRD3 Changes to Trading Book, Re-securitisations and Securitisations
12/18/2009 FDIC Issues Advance Notice of Proposed Rulemaking on Securitization Safe Harbor; Seeks Comments on Securitization Reforms
12/11/2009 Update: House Passes Securitization Reform
11/18/2009 FDIC Extends Securitization Safe Harbor and Portends Further Securitization Reforms

See Newer Items

Credit Rating Agency Reform

Client Alerts

See Newer Items

Regulatory Developments in Europe

Client Alerts and Articles

6/22/2011 Basel Committee Revises Basel III on the Capital Treatment for Bilateral Counterparty Credit Risk
5/10/2011 Transatlantic Navigation of Securitization Reforms: A Guide
4/29/2011 ICB Interim Report on UK Banking Reform
4/21/2011 Stepping Into the Shadows
4/18/2011 Review of UK Covered Bond Framework
4/2011 Possible Structures to Address Bail-In Proposals
3/14/2011 FSA Product Intervention
3/1/2011 Lehman Brothers Flip Clause Appeal Set to Be Heard Before UK Supreme Court
2/17/2011 European Resolution and Recovery Framework for Financial Institutions
2/16/2011 Regulatory Developments Affecting Compensation at Financial Institutions: A Comparative Perspective
1/24/2011 Financial Sector Remuneration in the UK and the EU
12/23/2010 CRD3 Changes to Trading Book, Re-securitisations and Securitisations
12/22/2010 European Commission Consultation on the Review of MiFID
12/17/2010 Amendments to the Prospectus Directive
12/17/2010 Structured Thoughts: EU Commission's Further Consultation on PRIPs
11/17/2010 The New EU Directive on AIFMs
11/5/2010 Structured Thoughts: Joint Report of the 3L3 Task Force on PRIPs
9/22/2010 Proposed European Regulation on Short Selling and Credit Default Swaps
9/20/2010 Draft EU Regulation on OTC Derivatives, Central Counterparties and Trade Repositories
9/16/2010 The New EU Financial Regulatory Framework
7/7/2010 CEBS Guidelines for Equity Capital Requirements of Financial Institutions
6/21/2010 A Step Forward or Backward? FSA to be Broken Up
2/10/2010 Structured Thoughts: Structured Products Regulatory Developments: an update on the EU actions on PRIPs
12/29/2009 The Will to Live: Recovery and Resolution Plans for UK Banks
12/15/2009 New UK Bank Levy on Employee Bonuses
11/13/2009 What Counts? An Update on the Debate Concerning Regulatory Capital
7/9/2009 UK White Paper on Reforming Financial Markets

See Newer Items

Foreign Banks

Client Alerts and Articles

2/25/2010 Structured Thoughts: Update on the Proposed AIFM Directive

See Newer Items

Consumer Protection

4/8/2011 Summary of Final CARD Act Clarifications
3/2/2011 Federal Reserve and FTC Propose Credit Score Disclosure Rules

See Newer Items

Loading...

Loading...