Dodd-Frank and Related Reforms

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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

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



Mortgages

Client Alerts

Related Presentations



Tax

Client Alerts


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)
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