Morrison & Foerster 6th Annual Financial Services and Regulatory Conference

03/17/2016 10:00 a.m. - 03:30 p.m.

Banking + Financial Services, Financial Institutions + Financial Services, Corporate Finance | Capital Markets, Derivatives + Commodities, Federal Tax, Financial Technology, and Derivatives + Commodities Regulation

The Ritz-Carlton Charlotte
201 East Trade Street
Charlotte, NC 28202

Sean RuffObrea O. PoindexterOliver I. Ireland, and James Schwartz

Obrea O. PoindexterSean RuffOliver I. Ireland, and James Schwartz


Trevor Starer
(212) 336-4310

Please join our visiting Morrison & Foerster attorneys as we offer our perspectives on navigating the roads and reading the road signs. 


Tax Developments and Emerging Issues
10:00 a.m. to 11:00 a.m.

  • Dividend equivalent discussion;
  • The IRS basket notice; and
  • Other recent developments.

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A FinTech Discussion
11:00 a.m. to 12:15 p.m.

Overview of legal and regulatory issues that arise in the FinTech space, including discussions concerning:

  • Alternate lending platforms (e.g., Marketplace Lending, etc.);
  • Money transmission;
  • Digital wallets and related topics;
  • An update on virtual currencies, cryptocurrencies and ledger related technologies (e.g., Blockchain); and
  • Partnerships between non-bank FinTech companies and banks.

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12:15 p.m. to 12:30 p.m.

Fed’s Long Term Debt, TLAC and Clean Holding Company Requirement and its Effects on Financial Institutions Issuers and the Debt Capital Markets
12:30 p.m. to 1:30 p.m.

  • A review of comments submitted to the Federal Reserve Board on its notice of proposed rulemaking;
  • Single point of entry resolution;
  • Preparing to comply, including addressing near TLAC eligible securities, setting up new issuance platforms, etc.;
  • The FSB principles and implementation of the FSB principles and the BRRD in Europe; and
  • How the FRB’s and the FSB’s requirements will affect the bank funding markets generally.

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Other Basel and FSB Related Developments
1:30 p.m. to 2:30 p.m.

  • Basel focus on “shadow banking;”
  • Requirements for securities lending transactions;
  • The Fed’s countercyclical buffer proposal;
  • Securitization updates; and
  • Regulation of benchmark indices.

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A Derivatives Update
2:30 p.m. to 3:30 p.m.

  • The margin rules for uncleared swaps and their effects on dealers;
  • Cross border developments and their effect on US counterparties;
  • The ISDA 2015 Universal Resolution Stay Protocol and related matters; and
  • Status of SEC rules for security-based swaps and what’s ahead.

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CLE credit is pending for North Carolina, California and New York.

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