The Volcker Rule:
A Protiviti and Morrison & Foerster Webinar

12/14/2011 01:00 p.m. - 02:00 p.m. EST

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


A discussion of implications of the Volcker Rule for Financial Institutions.

The federal financial regulatory agencies have agreed to publish proposed rules that implement the proprietary trading and private fund sponsorship and investment prohibitions of the Dodd-Frank Act's Volcker Rule. Several of the participating agencies have already published the proposed rules for public comment.

In addition to applying the basic restrictions of the Volcker Rule to covered banking entities, the proposed rules would create a number of significant regulatory compliance, corporate governance and reporting obligations for affected financial institutions.

Topics Will Include:

  • Proprietary trading
    • What is proprietary trading?
    • Dealing, underwriting and market-making activities
    • Trading in exempted financial instruments
    • Impact on derivatives, securitizations and structured finance activities
    • Permitted hedging and customer trading activities
  • Exempted and prohibited private equity and hedge fund activities
  • Impact on foreign bank trading and private equity/hedge fund activities
  • Conflicts of interest and "high risk" activities
  • Compliance, governance and reporting requirements


  • Charles Horn, Partner, Morrison & Foerster LLP
  • Dwight Smith, Partner, Morrison & Foerster LLP
  • David Johnson, Managing Director, Protiviti

New York and California CLE credit is pending for this event.

Email Disclaimer

Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.

©1996-2019 Morrison & Foerster LLP. All rights reserved.