Capital Markets and Regulatory Reform Update for Canadian Entities

01/08/2014 08:00 a.m. - 11:30 a.m.

Banking + Financial Services, Corporate Finance | Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products, and Derivatives + Commodities Regulation

The Fairmont Royal York
100 Front Street West
Toronto, Ontario
Canada M6J 1E3

Lloyd S. Harmetz and Oliver I. Ireland

Lloyd S. Harmetz and Oliver I. Ireland


Alexa Powers
(212) 336-4312

On January 8, 2014, please join us for several informative sessions that will address the following topics:

    For presentation materials, click here.

  • Session 1: Dodd-Frank Implementation Progress Report and Predictions for 2014

    During this session, we will provide an overview of the status of rulemaking implementation in 2013. We will discuss the banking agencies’ actions to implement Basel III in the United States, including the final capital rules, the supplemental leverage requirement, and the LCR proposal. We will review final rules applicable to mortgages, and the risk retention proposal. We also will focus on the Volcker Rule and its application to foreign banking organizations. The panelists also will discuss actions taken on systemic designation, prudential supervision, and other matters. We will provide an overview of the most important pending matters for 2014, including additional guidance on the “push out” provisions, additional regulatory capital requirements, guidance on enhanced prudential standards, etc.

  • For presentation materials, click here.

  • Session 2: Practical Impacts of the JOBS Act and other U.S. Capital Markets Developments; Areas of Focus for the U.S. Securities and Exchange Commission in 2014

    We will discuss compliance issues related to the bad actor rule, general solicitation and verification of investor status, as well as best practices related to updating engagement letters, purchase agreements and other documentation to address JOBS Act related changes. We also will provide an overview of recent financing trends, including increased reliance on bought deals or block trades and some of the special considerations related to execution of these transactions. Finally, we will provide an overview of the rulemaking priorities for the SEC in 2014 and what you should expect in the new year.

  • For presentation materials, click here.

  • Session 3: Cross Border Derivatives Issues (Title VII and EMIR)

    We will discuss the similarities and differences between the U.S. and European approaches to derivatives regulation, with a focus on the extraterritorial application of each regulatory regime, and aspects of substituted compliance. We will also provide brief updates on the rulemaking status of Title VII, EMIR and MiFID.

We invite you to attend, and encourage you to share this invitation with interested colleagues.

New York and California CLE credit is pending.

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