Insights

 
Our lawyers produce a wealth of substantive, timely and practical resource materials for our clients and friends of the firm. Listed separately below are client memos and alerts, articles and books, and podcasts.
September 30, 2016 Issue 7: Lex et Brexit — The Law and Brexit
Client Newsletter
September 22, 2016 OTC Derivatives Regulation Under Dodd-Frank: A Guide to Registration, Reporting, Business Conduct and Clearing
Thomson Reuters, May 2016
September 16, 2016 Issue 6: Lex et Brexit — The Law and Brexit
Client Newsletter
September 16, 2016 Security-Based Swap Dealers: Preparing for Trade Reporting

Compliance Reporter, Issue 19, September 19, 2016

September 9, 2016 The Federal Banking Agencies’ Report on Activities and Investments of Banks and Nonbank Affiliates
Client Memorandum
September 1, 2016 Issue 5: Lex et Brexit — The Law and Brexit
Client Newsletter
August 22, 2016 SEC Adopts Amendments to Regulation SBSR
Client Memorandum
August 19, 2016 Issue 4: Lex et Brexit — The Law and Brexit
Client Newsletter
August 18, 2016 Resolution of U.S. Financial Institutions

Debt Restructuring, 2nd ed., Oxford University Press, August 2016

August 5, 2016 Issue 3: Lex et Brexit — The Law and Brexit
Client Newsletter
July 29, 2016 SEC Proposes New and Enhanced Order Handling Disclosure Requirements
Client Memorandum
July 29, 2016 FinCEN’s Frequently Asked Questions Regarding Customer Due Diligence Requirements for Financial Institutions
Client Memorandum
July 28, 2016 TCH Releases White Paper on the Custody Services Provided by Banks
July 27, 2016 FINRA Proposes Reporting Requirements for Treasury Securities
Client Memorandum
July 22, 2016 Issue 2: Lex et Brexit — The Law and Brexit
Client Newsletter
July 22, 2016 NYDFS Issues Final Rule on Transaction Monitoring and Filtering Programs
Client Memorandum
July 19, 2016 Dodd-Frank Progress Report: Six-Year Anniversary
Client Newsletter
July 15, 2016 Financial Regulation: Law and Policy
Foundation Press, June 2016
July 9, 2016 Issue 1: Lex et Brexit — The Law and Brexit
Client Newsletter
June 24, 2016 Legal Implications of Brexit
Client Memorandum
June 15, 2016 The New EU Market Abuse Regulation: Key Issues for U.S. Issuers
Client Memorandum
June 6, 2016 Security-Based Swap Dealers: Tackling the Business Conduct Rules
Compliance Reporter, Issue 11, May 30, 2016
May 31, 2016 FinCEN’s Final Rule to Enhance Customer Due Diligence Requirements for Financial Institutions
Client Memorandum
May 25, 2016 Federal Reserve's Proposed Rule on QFCs with U.S. G-SIBs and the U.S. Operations of Foreign G-SIBs
Client Memorandum
May 25, 2016 Bank Resolution and Crisis Management: Law and Practice

Oxford University Press, May 2016

May 24, 2016 SEC Adopts Business Conduct Rules for Security-Based Swap Dealers
Client Memorandum
May 10, 2016 The Department of Labor’s Fiduciary Rulemaking: Impacts, Implications and Related Policy Issues
Podcast
May 2, 2016 Incentive Compensation for Financial Institutions: Reproposal
Client Memorandum
April 18, 2016 Department of Labor’s Final Rule Defining Fiduciary Investment Advice and Conflicts of Interest
Client Memorandum
April 18, 2016 Security-Based Swap Dealers: Gearing Up for Registration
compliancereporter.com, Vol. XXIII, No. 8, April 18, 2016
April 11, 2016 Treasury Issues New Anti-Inversion Guidance
Client Memorandum
April 11, 2016 Treasury Proposes Overhaul of Intercompany Debt Rules
Client Memorandum
March 24, 2016 Preparing for U.S. Uncleared Swap Margin Rules
compliancereporter.com, Vol. XXIII, No. 6, March 21, 2016
March 22, 2016 Visual Memo: Single-Counterparty Credit Limits Proposed Rule
Client Memorandum
March 17, 2016 Can Falling Interest Rates Increase a Company’s Financing Costs?
Client Memorandum
March 9, 2016 CFPB Brings First Ever Data Security Enforcement Action: Review and Analysis
Client Memorandum
March 2, 2016 FDIC and SEC Propose Rules to Implement the Provisions for Covered Broker-Dealers under Title II of Dodd-Frank
Client Memorandum
February 17, 2016 Randall Guynn Participates in Federalist Society Podcast on SPOE
Podcast
January 22, 2016 U.S. Uncleared Swap Margin, Capital and Segregation Rules
Client Memorandum
January 22, 2016 Is B/D Desk Commentary Dead?
Compliance Reporter
January 20, 2016 Nation Building and Banks: The Importance of Financial Institutions
Maine Law Review, 2008
January 20, 2016 Too Big to Fail: Do We Need Special Rules for Bank Resolutions?
Institute for Law and Finance, Frankfurt, Germany, 2012
January 20, 2016 JCPOA Implementation Day Raises New Sanctions Challenges
Client Memorandum
January 20, 2016 Foreign Bank Acquisitions of U.S. Banks and Thrifts (Chapter 6, Co-Author)
Regulation of Foreign Banks and Affiliates in the United States (6th ed., 2011)
January 8, 2016 Regulatory Predictions for 2016
FT Trading Room
January 6, 2016 Hong Kong Corporate Finance Update
Client Newsletter
January 4, 2016 Dodd-Frank Progress Report: Fourth Quarter 2015
Client Newsletter
December 14, 2015 SEC Proposes New Transparency Requirements for NMS Stock Alternative Trading Systems
Client Memorandum
December 10, 2015 White Collar Update: Second Circuit Grants Jefferies Bond Trader New Trial, Reverses Others
Client Memorandum
December 9, 2015 Adding Insult to Injury: Regulatory Enforcement Following Broker-Dealer Operational Failures
Securities Markets
Insights, The Corporate & Securities Law Advisor, Vol. 29, No. 11, November 2015

Pages

Insights Search: