Regulatory Update

03/09/2011 08:15 a.m. - 04:15 p.m.

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

Charlotte Marriott City Center
100 West Trade Street
Charlotte, NC 28202


Christie Adams
(212) 336-4024

Please feel free to join us for as many sessions as you would like. We anticipate that some participants may be interested only in certain topics, so we ask that you let us know when you RSVP which session you plan to join.


8:15 a.m. – 8:45 a.m.  Breakfast
8:45 a.m. – 9:15 a.m.  Overview of Basel III
9:15 a.m. – 10:15 a.m.  Basel Numerator/Capital Issues Post Dodd-Frank and Basel

  • Overview of Dodd-Frank and Basel capital related provisions
  • Which types of products will count for Tier 1 capital going forward post Dodd-Frank and post Basel?
  • How do these products work? 
  • Addressing outstanding hybrid products through consent solicitations and exchange offers and other liability management exercises
  • What is contingent capital and what are the issues for US banks?
  • Ratings developments relating to hybrid products

10:15 a.m. – 10:30 a.m.  Break
10:30 a.m. – 11:15 a.m.  Basel Denominator and Liquidity Issues

  • How will securitization and derivatives activities be affected by Basel III?
  • Understanding leverage and liquidity guidelines and requirements
  • SEC guidance on liquidity issues

11:15 a.m. – 11:45 a.m.  Systemic Designation

  • Guidance on systemic designation to date

11:45 a.m. – 12:45 p.m.  Lunch and Overview of Rulemaking since Enactment of Dodd-Frank
A lot has happened since enactment.  Over lunch we will provide an overview of principal rulemaking and offer some predictions on the next few months of activity.
12:45 p.m. – 1:30 p.m.  Developments Related to Ratings; Mortgage Reform; and Developments Affecting Securitization, Including Foreclosure Matters

  • What is the status of rating agency consent issues?
  • Proposals to remove ratings from SEC rules and the rules of other agencies
  • The latest developments in the SEC’s oversight of credit rating agencies
  • Disclosure of reps and warranties and due diligence
  • MERS and mortgage assignments 

1:30 p.m. – 2:15 p.m.  Covered Bonds

  • What are they?  
  • How do they differ from securitization?  
  • Who buys them?  
  • How have foreign banks been accessing the market?  
  • What is the status of legislative efforts?  
  • How might they fit into a funding strategy?

2:15 p.m. – 2:30 p.m.  Break

2:30 p.m. – 3:15 p.m.  An Update on Volcker
3:15 p.m. – 4:15 p.m.  OTC Derivatives

  • How will mandatory clearing work?
  • What is the end user exception to mandatory clearing?
  • To what extent will ownership restrictions apply to clearing entities?
  • What will the new market structure look like?
  • What are the new capital and margin requirements?
  • How will swap dealers’ activities be affected by the new business conduct standards?
  • What are the new recordkeeping and reporting rules?
  • How will the new regulations impact documentation and confirmation procedures?

CLE credit is pending.

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