The Effect of Regulatory Reforms on Foreign Financial Institutions


Banking + Financial Services, Corporate Finance | Capital Markets, Financial Institutions + Financial Services, Japan, Capital Markets + Securities Law | Japan, and Finance | Japan

Oliver I. Ireland

Oliver I. Ireland


Christie Adams
(212) 336-4024

Financial institutions are facing a number of significant challenges that will require careful analysis in the coming months.  A number of provisions of the Dodd-Frank Act will affect foreign banks that conduct business in the United States.  Regulatory reforms underway in the EU also will need to be factored into the business plan of any internationally active foreign bank.  Finally, international bank regulators continue to discuss the Basel III framework. 

Panelists will discuss:

  • An overview of the Dodd-Frank Act;
  • The categorization of institutions as “systemically important financial institutions”;
  • Application of the new resolution mechanism to the U.S. operations of a foreign bank;
  • Volcker Rule restrictions;
  • The effect of regulations relating to OTC derivatives;
  • Resolution plans requirements;
  • Regulations affecting regulatory capital, which would affect U.S. intermediate bank holding companies of international banks;
  • Foreign fund exception to the private fund registration rule; 
  • Executive compensation and governance requirements applicable to foreign issuers;
  • The Basel III Framework; and
  • Regulatory reforms affecting financial institutions doing business in the EU.


  • Oliver I. Ireland, Partner, Morrison & Foerster LLP
  • Anna T. Pinedo, Partner, Morrison & Foerster LLP


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