Banking Agencies Release Limited Volcker Rule Guidance
Editor's Note: The following post comes to us from Sullivan & Cromwell LLP, and is based on a Sullivan & Cromwell publication by Robert W. Reeder III, Camille L. Orme, Whitney A. Chatterjee,...
View ArticleSEC’s Cross-Border Derivatives Rule
Editor's Note: The following post comes to us from Dan Ryan, Leader of the Financial Services Advisory Practice at PricewaterhouseCoopers LLP, and is based on a PwC publication. The SEC provided the...
View ArticleDodd-Frank At 4: Where Do We Go From Here?
Editor's Note: David M. Lynn is a partner and co-chair of the Corporate Finance practice at Morrison & Foerster LLP. The following post is based on a Morrison & Foerster publication; the...
View ArticleNationalize the Clearinghouses!
Editor's Note: The following post comes to us from Stephen J. Lubben, Harvey Washington Wiley Chair in Corporate Governance & Business Ethic at Seton Hall University School of Law. A clearinghouse...
View ArticleEnd-User Exception from Dodd-Frank Clearing Mandate and Trade Execution...
Editor's Note: The following post comes to us from Michele Ruiz, partner in the Derivatives practice at Sidley Austin LLP, and is based on a Sidley publication by Ms. Ruiz, Nathan A. Howell, Kenneth A....
View ArticleVolcker Rule: Agencies Release New FAQ
Editor's Note: The following post comes to us from Sullivan & Cromwell LLP, and is based on a Sullivan & Cromwell publication by Eric M. Diamond, Joseph A. Hearn, and Ken Li. The complete...
View ArticleCFTC Clarifies and Expands Relief Relating to Delegation of CPO Responsibilities
Editor's Note: The following post comes to us from Cary J. Meer, partner in the Investment Management practice group at K&L Gates LLP, and is based on a K&L Gates publication by Ms. Meer and...
View ArticleSEC’s Swaps Reporting and Disclosure Final Rules
Editor's Note: The following post comes to us from Dan Ryan, Leader of the Financial Services Advisory Practice at PricewaterhouseCoopers LLP, and is based on a PwC publication by Troy Paredes, Samuel...
View ArticleAgencies Release New Volcker Rule FAQ
Editor's Note: The following post comes to us from Sullivan & Cromwell LLP, and is based on a Sullivan & Cromwell publication by Whitney A. Chatterjee, H. Rodgin Cohen, C. Andrew Gerlach, and...
View ArticleSEC Implements Dodd-Frank Reporting and Dissemination Rules for...
Editor's Note: The following post comes to us from Arthur S. Long, partner in the Financial Institutions and Securities Regulation practice groups at Gibson, Dunn & Crutcher LLP, and is based on...
View ArticleCFTC Issues Cross-Border Substituted Compliance Determinations
Editor's Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP, and a former commissioner at the U.S. Securities and Exchange Commission. The...
View ArticleCost-Benefit Analysis of Financial Regulation: Case Studies and Implications
Editor's Note: John Coates is the John F. Cogan, Jr. Professor of Law and Economics at Harvard Law School. The 2010 Dodd-Frank Act mandated over 200 new rules, bringing renewed attention to the use of...
View ArticleInterim Final Rule Exempts Some CDOs from Volker Rule Restrictions
Editor's Note: H. Rodgin Cohen is a partner and senior chairman of Sullivan & Cromwell LLP focusing on acquisition, corporate governance, regulatory and securities law matters. This post is based...
View ArticleToward a Global Regulatory Framework for Cross-Border OTC Derivatives Activities
Editor's Note: Michael S. Piwowar is a Commissioner at the U.S. Securities and Exchange Commission. This post is based on Commissioner Piwowar’s remarks at the Alternative Investment Management...
View ArticleDodd-Frank Rules Impact End-Users of Foreign Exchange Derivatives
Editor's Note: The following post comes to us from Michael Occhiolini, partner focusing on corporate finance, corporate law and governance, and derivatives at Wilson Sonsini Goodrich & Rosati, and...
View ArticleWhy the Market Should Care About Proposed Clearing Agency Requirements
Editor's Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP, and a former commissioner at the U.S. Securities and Exchange Commission. The...
View ArticleSegregation of Initial Margin Posted in Connection with Uncleared Swaps
Editor's Note: The following post comes to us from Leigh R. Fraser, partner and co-head of the hedge funds group at Ropes & Gray LLP, and is based on a Ropes & Gray publication by Ms. Fraser,...
View ArticleSenior Manager Liability for Derivatives Misconduct: The Buck Stops Where?
Editor's Note: The following post comes to us from Clifford Chance LLP and is based on a Clifford Chance publication by David Yeres, Edward O’Callaghan, and Alejandra de Urioste; the full text,...
View ArticleIncreased Scrutiny of High-Frequency Trading
Editor's Note: The following post comes to us from Matthew Rossi, partner in the Securities Litigation & Enforcement practice at Mayer Brown LLP, and is based on a Mayer Brown Legal Update by Mr....
View ArticleCFTC Provides Streamlined No-Action Relief Filing Procedure
Editor's Note: The following post comes to us from Carolyn A. Jayne, partner in the Investment Management, Hedge Funds and Alternative Investments practice at K&L Gates LLP, and is based on a...
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