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.
December 11, 2014 Insider Trading: U.S. Court of Appeals (Second Circuit) Vacates Convictions, Clarifies Requirements of Tippee Liability
Client Memorandum
December 4, 2014 SEC Adopts Regulation SCI to Strengthen Securities Market Infrastructure
Client Memorandum
December 1, 2014 Dodd-Frank Progress Report
Client Newsletter
December 1, 2014 European Regulatory Snapshot: CRD IV Bonus Cap Likely Set to Stay
Client Memorandum
November 10, 2014 New York’s Proposed BitLicense Regime: Summary of Published Comments and Expected Changes
Client Memorandum
November 7, 2014 Risk Governance: Visual Memorandum on Final Guidelines Issued by the OCC
Client Memorandum
November 6, 2014 Framing the Too Big To Fail Problem: The Path to a Solution
Across the Great Divide: New Perspectives on the Financial Crisis, Chapter 13
Martin Neil Baily & John B. Taylor, eds., Hoover Institution & Brookings Institution, 2014
November 3, 2014 Dodd-Frank Progress Report
Client Newsletter
October 30, 2014 FINRA Proposes New "CARDS" Data Collection System
Client Memorandum
October 15, 2014 CFTC Re-Proposes Uncleared Swap Margin Rules
Client Memorandum
October 13, 2014 FINRA Files New Rules Governing Member Payments to Unregistered Persons
Client Memorandum
October 7, 2014 Recent Anti-Inversion Guidance Has Meaningful Implications for Insurance Companies
Client Memorandum
October 1, 2014 Dodd-Frank Progress Report
Client Newsletter
September 29, 2014 The Marketplace Awaits Regulation SCI
Traders Magazine
September 23, 2014 U.S. Basel III Liquidity Coverage Ratio Final Rule
Client Memorandum
September 16, 2014 SEC Proposes to Exempt Certain Communications Involving Security-Based Swaps from Securities Act Registration
Client Memorandum
September 15, 2014 Weak Consumer Exams Are Holding Up M&A Deals
Bank Director, September 15, 2014
September 15, 2014 Regulators Re-Propose Uncleared Swap Margin, Capital and Segregation Rules for Swap Entities
Client Memorandum
September 12, 2014 Supplementary Leverage Ratio
Client Memorandum
September 4, 2014 European Regulatory Snapshot: Remuneration in the Financial Services Industry 2014
Client Memorandum
September 2, 2014 Dodd-Frank Progress Report
Client Newsletter
August 25, 2014 SFC Discards Plans for Legislative Amendments on IPO Sponsor Prospectus Liability
Client Memorandum
August 12, 2014 Share Capital Management and Transaction Guidelines
Client Memorandum
August 5, 2014 SEC Adopts Money Market Fund Reforms
Client Memorandum
August 1, 2014 UK Takeover Panel proposals to amend the Takeover Code
Client Memorandum
July 31, 2014 New York July 2014 “BitLicense” Proposal: Visual Memorandum
Client Memorandum
July 18, 2014 Dodd-Frank Four-Year Anniversary Progress Report
Client Newsletter
July 3, 2014 SEC Adopts Security-Based Swap Cross-Border Definitional Rule
Client Memorandum
July 2, 2014 Key Questions Raised by the CFTC’s Plans for Non-US CCPs
A version of this article was first published in Risk Magazine on June 24, 2014.
July 1, 2014 Dodd-Frank Progress Report
Client Newsletters
June 18, 2014 Volcker Rule: Observations on Interagency FAQs, OCC Interim Examination Guidelines
Client Memorandum
June 18, 2014 Whistleblower Update: SEC Resolves First Case Under New Authority to Bring Anti-Retaliation Claim
Client Memorandum
June 5, 2014 American Bancorp.’s Involuntary Bankruptcy: A New Strategy for Distressed Investors in Trust Preferred Securities
Client Memorandum
June 4, 2014 Second Circuit Vacates Judge Rakoff’s Rejection of Consent Settlement in SEC v. Citigroup Global Markets
Client Memorandum
June 2, 2014 Dodd-Frank Progress Report
Client Newsletter
May 27, 2014 Dodd-Frank Concentration Limit on Financial Institution M&A: Visual Memorandum
Client Memorandum
May 16, 2014 Enhancing the Effectiveness of the UK Listing Regime – implementation
Client Memorandum
May 16, 2014 SEC Proposes Recordkeeping, Reporting and Notification Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum
May 1, 2014 Dodd-Frank Progress Report
Client Newsletter
April 29, 2014 DOJ and SEC Announce Filing of FCPA Enforcement Action Against Broker-Dealer Executives
Client Memorandum
April 28, 2014 The Fed's Physical Commodities ANPR
Client Memorandum
April 8, 2014 Clearinghouse Regulatory Basics for Swap Market Participants
Global Capital
April 2, 2014 U.S. Intermediate Holding Company: Structuring and Regulatory Considerations for Foreign Banks
Visual Memorandum
April 1, 2014 Dodd-Frank Progress Report
Client Newsletter
March 26, 2014 D.C. District Court Orders Production of Internal Compliance Investigation Materials
Client Memorandum
March 25, 2014 COMMENTARY: Why the Market Should Care About Proposed Clearing Agency Requirements
Traders Magazine
March 24, 2014 Dodd-Frank Enhanced Prudential Standards for Foreign Banks with Limited U.S. Footprints: Visual Memorandum
Client Memorandum
March 24, 2014 Targeted Returns Under FINRA's Communication Rules
New York Law Journal
March 3, 2014 Dodd-Frank Progress Report
Client Newsletter
February 28, 2014 Foreign Banks: U.S. Liquidity Buffer Requirement
Client Memorandum
Visual Memorandum and Interactive Calculator

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