Regulatory Reform – News and Resources
See also Financial Crisis - News and Resources
Please click here for information on our regulatory reform related events.
Client Alerts, Articles, Related Resources and Presentations
Links to Other Legal and Government Resources
Dodd-Frank Act Wall Street Reform and Consumer Protection Act (printer-friendly version)
A Short Summary of the Dodd-Frank Act
Dodd-Frank: One Year Later (a complete summary)
Dodd-Frank Act Milestones
Dodd-Frank Act User Guides
Legislation Summaries
One Year Later
Financial Institutions and Regulatory Reform
Client Alerts and Articles
- 12/2011 Market Solutions, Vol. 20, No. 4, Financial Markets Association (reprinted with permission).
- 11/2011 Living Wills User Guide
- 9/2011 Market Solutions, Vol. 20, No. 3, Financial Markets Association (reprinted with permission).
- 9/16/2011 Living Wills: FDIC Approves Final Rules
- 9/6/2011 Securities Holding Companies – Registration Rules Proposed by Federal Reserve
- 8/19/2011 SIFI Resolutions and Living Wills: The Financial Stability Board Proposal (and some U.S. and UK observations)
- 7/22/2011 FTC Rescinds FCRA Commentary in Handoff to CFPB
- 7/15/2011 Federal Reserve and FTC Publish Final Credit Score Disclosure Rules
- 7/11/2011 Dodd-Frank Act Rulemaking Update: Final Rule Concerning OLA and Status Update on Living Wills
- 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
- 4/28/2011 Federal Reserve Issues Proposed Ability-to-Repay Rule
- 4/8/2011 Summary of Final CARD Act Clarifications
- 3/31/2011 Dodd-Frank Act Rulemaking Update: Proposal for Living Wills and Credit Exposure Reports
- 3/14/2011 Proposed Budget Cuts to FinCEN's "Project Gateway
- 3/2/2011 Federal Reserve and FTC Propose Credit Score Disclosure Rules
- 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.
- 10/2010 Dodd-Frank and the Capital Markets by Anna Pinedo and James Tanenbaum. Published in Financier Worldwide. Used by permission.
- 8/31/2010 Dodd-Frank, Title II: Where the FDIC and the "Orderly Liquidation Authority" Meet the Bankruptcy Code
- 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
- 1/25/2010 Banking Agencies Issue Final Regulatory Capital Rule Related to FAS 166 167
- 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
Related Resources
Financial Stability Board (FSB)
Basel
Treasury
Federal Deposit Insurance Corporation (FDIC)
Financial Stability Oversight Counsel (FSOC)
European Systematic Risk Board
Federal Reserve Board (FRB)
Government Accountability Office (GAO)
Other
Related Presentations
Volcker Rule
Client Alerts and Articles
Related Resources
Related Presentations
Living Wills
Derivatives Regulation
Client Alerts and Articles
Related Presentations
Related Resources
Broker-Dealers
Client Alerts and Articles
Related Presentations
Basel III Framework
Client Alerts and Articles
Related Resources
Related Presentations
Employee and Executive Compensation
Client Alerts
Related Resources
- Compensating Bank Employees: New Responsibilities for Bank Directors
- Listing Standards for Compensation Committees
- Incentive-Based Compensation Arrangements
- Shareholder Approval of Executive Compensation and Golden Parachute Compensation
- Banking Agency Guidance on Sound Incentive Compensation Policies (June 2010)
- European Parliament Regulations on Remuneration (CRD3)
- Basel Committee Consultative Document Range of Methodologies for Risk and Performance Alignment of Remuneration
- FSB Principles for Sound Compensation Practices
- Squam Lake Recommendations on Compensation
- Subtitle E of Dodd-Frank Act: Accountability and Executive Compensation
- The Special Master for TARP Executive Compensation Issues First Rulings (October 22, 2009)
- Cuomo Report on Executive Compensation (July 30, 2009)
- Basel Committee on Banking Supervision publishes its final Pillar 3 disclosure requirements for remuneration (BCBS197) (July 2011)
- Range of Methodologies for Risk and Performance Alignment of Remuneration (BCBS 194) (May 2011)
- Committee of European Banking Supervisors Guidelines on Remuneration Policies and Practices (December 10, 2010)
- Basel Committee on Banking Supervision Principles for enhancing corporate governance (October 4, 2010)
- Financial Stability Board Thematic Review on Compensation – Peer Review Report (March 30, 2010)
- Financial Stability Board Principles for Sound Compensation Practices – Implementation Standards (September 25, 2009)
- Financial Stability Forum Principles for Sound Compensation Practices (April 2, 2009)
- The Dodd-Frank Act: Compensation for Financial Institutions
- Proposed Compensation Committee Independence Standards – Comparison Chart
- Corporate Governance, Compensation, Disclosure, and SEC Enforcement Provisions
Mortgages
Client Alerts
Related Presentations
Tax
Client Alerts
- 10/2011 MoFo Tax Talk: Volume 4, Issue 3
- 7/2011 MoFo Tax Talk: Volume 4, Issue 2
- 7/19/2011 IRS Announces Phased Implementation of FATCA
- 4/20/2011 IRS Issues Follow-Up Guidance on FATCA Reporting and Withholding Requirements
- 4/2011 MoFo Tax Talk: Volume 4, Issue 1
- 1/18/2011 MoFo Tax Talk, Volume 3, Issue 4
- 10/13/2010 MoFo Tax Talk, Volume 3, Issue 3
- 7/16/2010 MoFo Tax Talk, Volume 3, Issue 2
- 4/2/2010 MoFo Tax Talk, Volume 3, Issue 1
- 3/22/2010 FATCA Provisions Enacted Into Law
- 12/31/2009 MoFo Tax Talk, Volume 2, Issue 4
- 10/2/2009 MoFo Tax Talk, Volume 2, Issue 3
- 6/17/2009 MoFo Tax Talk, Volume 2, Issue 2
- 3/10/2009 MoFo Tax Talk, Volume 2, Issue 1
- 3/9/2009 Stop Tax Haven Abuse Act: An Attempt to Close Down Dividend "Washing" has New Life with a New Congress and New Administration
- 2/19/2009 Temporary Deferral of Cancellation-of-Indebtedness Income Under the Recovery and Reinvestment Act of 2009
- 2/17/2009 Tax Provisions of the Stimulus Bill
- 12/19/2008 MoFo Tax Talk Volume 1, Issue 4
- 11/25/2008 TARP's Term Asset-Backed Securities Loan Facility: Can Wall Street Help Main Street?
- 10/20/2008 New Tax Rules Re Certain Investment Fund Managers' Deferred Compensation
- 10/3/2008 Bailout Bill Tax Provisions - An Executive Summary
- 10/3/2008 Summary of Cleantech Provisions in the Bailout Bill
- 10/3/2008 Economic Stabilization Act: Employee Benefits and Executive Compensation
- 10/2/2008 Notice 2008-83: The IRS Offers Reassurance to Troubled Banks
- 9/30/2008 MoFo Tax Talk Volume 1, Issue 3
- 6/2008 Tales from the Credit Crunch: Selected Issues in the Taxation of Financial Instruments and Pooled Investment Vehicles by Thomas A. Humphreys
First published in Journal of Taxation of Financial Products by CCH June 2008.
Click here to visit the CCH website.
Private Funds
Client Alerts and Articles
Whistleblowers
Securitization and Securities
Client Alerts
Related Resources
Related Presentations
Short Selling
Client Alerts and Articles
Credit Rating Agency Reform
Client Alerts
Related Resources
Related Presentations
Regulatory Developments in Europe
Client Alerts and Articles
Related Presentations
Foreign Banks
Links to Other Legal and Government Resources
Federal Regulatory Agencies' Websites
Securities and Exchange Commission
Commodity Futures Trading Commission
Financial Stability Oversight Council
Federal Reserve
Federal Deposit Insurance Corporation
Office of the Comptroller of the Currency
National Credit Union Administration
Office of Thrift Supervision
European Resources
European Commission - legislative proposal for a new capital requirements directive (CRD IV) (July 20, 2011)
European Commission - legislative proposal for a regulation on prudential requirements for credit institutions and investment firms (CRD IV) Part I (July 20, 2011)
European Commission - legislative proposal for a regulation on prudential requirements for credit institutions and investment firms (CRD IV) Part II (July 20, 2011)
European Commission - legislative proposal for a regulation on prudential requirements for credit institutions and investment firms (CRD IV) Part III (July 20, 2011)
Compromise Proposal in relation to the European Market Infrastructure Regulation (July 18, 2011)
Discussion Paper - ESMA's policy orientations on guidelines for UCITS Exchange-Traded Funds and Structured UCITS (July 2011)
FSA Paper – The Financial Conduct Authority: Approach to Regulation (June 27, 2011)
HM Treasury White Paper - A new approach to financial regulation: The blueprint for reform (June 16, 2011)
ESMA's technical advice on possible delegated acts concerning the Prospectus Directive as amended by the Directive 2010/73/EU (June 15, 2011)
Basel Committee on Banking Supervision Press Release - Basel Committee finalises capital treatment for bilateral counterparty credit risk (June 1, 2011)
Regulation (EU) No 513/2011 of the European Parliament and of the Council amending Regulation (EC) No 1060/2009 on credit rating agencies (May 11, 2011)
FSB Background Note - Shadow Banking: Scoping the Issues (April 12, 2011)
European Commission (DG Internal Market and Services) working document: Technical details of a possible EU framework for bank recovery and resolution (January 6, 2011)
European Commission: Consultation Paper on the UCITS depositary function and on the UCITS managers' remuneration (December 14, 2010)
Committee of European Banking Supervisors Guidelines on Remuneration Policies and Practices (December 10, 2010)
EU Commission public consultation: review of the Markets in Financial Instruments Directive (MiFID) (December 8, 2010)
Working Document of the Commission Services (DG Internal Market): Consultation by Commission Services on legislative steps for the Packaged Retail Investment Products initiative (November 26, 2010)
Directive 2010/73/EU of the European Parliament and of the Council amending Directive 2003/71/EC on the prospectus to be published when securities are offered to the public or admitted to trading and 2004/109/EC on the harmonisation of transparency requirements in relation to information about issuers whose securities are admitted to trading on a regulated market (November 24, 2010)
Directive 2010/76/EU of the European Parliament and of the Council amending Directives 2006/48/EC and 2006/49/EC as regards capital requirements for the trading book and for re-securitisations, and the supervisory review of remuneration policies (CRD III) (November 24, 2010)
European Parliament legislative resolution on the proposal for a directive of the European Parliament and of the Council on Alternative Investment Fund Managers (AIFM) (November 11, 2010)
European Commission communication: An EU framework for crisis management in the financial sector (October 20, 2010)
Report of the 3L3 Task Force on Packaged Retail Investment Products (October 6, 2010)
European Commission Proposal for a Regulation on OTC derivatives, central counterparties and trade repositories (September 15, 2010)
EU Council Report: Financial Supervision Reform (September 6, 2010)
European Commission Public consultation on a revision of the Market Abuse Directive (June 25, 2010)
Basel Committee on Banking Supervision Report and Recommendations of the Cross-border Bank Resolution Group (BCBS 169) (March 2010)
European Commission's Update on Commission work on Packaged Retail Investment Products (December 16, 2009)
EU Commission Proposal for a Regulation on Community macro-prudential oversight of the financial system and establishing a European Systemic Risk Board (September 23, 2009)
European Commission Technical Workshop on Packaged Retail Investment Products - Issues for discussion (October 22, 2009)
Summary of European Commission Technical Workshop on Packaged Retail Investment Products (October 22, 2009)
EU Commission Proposal for a Regulation on Community macro-prudential oversight of the financial system and establishing a European Systemic Risk Board (September 23, 2009)
Directive 2009/111/EC of the European Parliament and of the Council amending Directives 2006/48/EC, 2006/49/EC and 2007/64/EC as regards banks affiliated to central institutions, certain own funds items, large exposures, supervisory arrangements, and crisis management (CRD II) (September 16, 2009)
Regulation of the European Parliament and of the Council on Credit Rating Agencies (1060/2009/EC) (September 16, 2009)
Directive 2009/65/EC of the European Parliament and of the Council on the coordination of laws, regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS IV) (July 13, 2009)
Guidelines for computing capital for incremental risk in the trading book (BCBS159) (July 2009)
European Commission Communication on Packaged Retail Investment Products (April 30, 2009)
Market Abuse Directive (2003/6/EC) (January 28, 2003)
UK Resources
House of Lords EU Select Committee Report - Sovereign Credit Ratings: Shooting the Messenger? (July 21, 2011)
House of Lords EU Select Committee Report - The EU Financial Supervisory Framework: an update (July 21, 2011)
House of Commons Treasury Committee report on the Independent Commission on Banking's Interim Report (July 20, 2011)
ICB summarises and publishes responses to interim report consultation on webpage (July 13, 2011)
The Prospectus Regulations 2011 (2011/1668) (July 8, 2011)
Explanatory Memorandum to the Prospectus Regulations 2011 (July 8, 2011)
House of Commons Treasury Committee Report - Retail Distribution Review (July 6, 2011)
FSA Feedback Statement (FS11/3): Product Intervention – Feedback on DP11/1 (June 2011)
Independent Commission on Banking Interim Report on UK Banking Reform (April 11, 2011)
FSA and HM Treasury Joint Consultation Paper on Covered Bond Regulation (April 6, 2011)
Government proposes amendments to draft bank levy (May 24, 2011)
FSA Consultation Paper (CP11/9): Strengthening Capital Standards 3 – Further Consultation on CRD3 (May 2011)
Finance (No.3) Bill 2011, which includes draft bank levy legislation (March 31, 2011)
Draft Legislation on the Collection and Management of the Bank Levy (March 31, 2011)
Revised Draft of Chapter 4 of the Bank Levy Manual, which supersedes the version of Chapter 4 published on December 30, 2010 (March 31, 2011)
2011 HM Treasury Budget (March 23, 2011)
A New Approach to Financial Regulation: Building a Stronger System (February 17, 2011)
The Investment Bank Special Administration Regulations 2011 (February 7, 2011)
The Investment Bank (Amendment of Definition) Order 2011 (February 7, 2011)
HM Treasury, Explanatory Memorandum to the Investment Bank Special Administration Regulations (February 7, 2011)
FSA Remuneration Code (SYSC 19A) (January 1, 2011)
FSA Discussion Paper (DP11/1): Product Intervention (January 2011)
FSA Feedback Statement (FS11/1): Distribution of Retail Investments: Delivering the RDR – Professionalism; Feedback to CP10/14 and CP10/22 and final rules (January 2011)
Bank Levy Manual (December 30, 2010)
Finance (No.3) Act 2010 (December 16, 2010)
FSA Policy Statement (PS10/19): Strengthening Capital Standards 3 - feedback and final rules for CP10/17 (chapters 11–13) and CP10/22 (chapter 3) (December 17, 2010)
FSA Policy Statement (PS10/20): Revising the Remuneration Code (December 17, 2010)
FSA Policy Statement (PS10/21): Implementing CRD 3 Requirements on the Disclosure of Remuneration (December 2010)
FSA Consultation Paper (CP10/27): Implementing CRD3 Requirements on the Disclosure of Remuneration (November 2010)
Banking Act 2009 Special Resolution Regime: Code of Practice (November 23, 2010)
Independent Commission on Banking Issues Paper/Call for Evidence (September 24, 2010)
FSA Policy Statement (PS10/14): Capital Planning Buffers (September 2010)
Finance (No.2) Act 2010 (July 27, 2010)
FSA Consultation Paper (CP10/19): Revising the Remuneration Code (July 29, 2010)
FSA Consultation Paper (CP10/18): Implementing Aspects of the Financial Services Act 2010 (July 2010)
FSA Feedback Statement (FS10/2): Summary of Feedback to the Turner Review Conference Discussion Paper (July 2010)
Joint Statement by French, UK & German Governments on Bank Levies (June 22, 2010)
The Future of Banking Commission (June 13, 2010)
UK Corporate Governance Code (June 2010)
Financial Services Act 2010 (June 2010)
FSA Consultation Paper (CP10/11): Implementing Aspects of the Financial Services Act 2010 (April 26, 2010)
Finance Act 2010 (April 2010)
FSA Policy Statement (PS10/6): Distribution of Retail Investments (March 2010)
(Draft) Executives' Remuneration Reports Regulations 2010 (March 2010)
"Living Wills: How Can the Concept be Implemented?," Speech by Thomas F. Huertas, FSA Director of Banking Sector (February 12, 2010)
FSA Consultation Paper (CP09/30): Capital Planning Buffers (December 2009)
Walker Review: A review of corporate governance in UK banks and other financial industry entities. Final Recommendations (26 November 2009)
FSA Discussion Paper (DP09/4): Turner Review Conference (October 2009)
FSA Policy Statement: Reforming Remuneration Practices in Financial Services (August 2009)
FSA Consultation Paper (CP09/18): Distribution of Retail Investments (June 2009)
Turner Review: A regulatory response to the global banking crisis (18 March 2009)
Banking Act 2009 (February 2009)
Legislative History Resources
Financial Services Committee Approves Investor Protection Act (November 4, 2009)
Financial Reform Drafts on Investor Protection, Private Advisor Registration, and Federal Insurance (October 1, 2009)
Discussion Draft of the Consumer Financial Protection Agency Act (September 25, 2009)
Proposed Consumer Financial Protection Agency Act of 2009
Fact Sheet: Strengthening Consumer Protection
FDIC Deposit Insurance Regulations Final Rule
Proposed Improvements to the Federal Trade Commission Act
White Paper: Financial Regulatory Reform
Homeowner Affordability and Stability Plan Executive Summary
Congressional Oversight Panel on Regulatory Reform
GAO Report: A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System (January 2009)
Treasury Report: Blueprint for a Modernized Financial Regulatory Structure (March 2008)