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.
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
February 24, 2014 U.S. Bank Holding Companies: Overview of Dodd-Frank Enhanced Prudential Standards Final Rule
Visual Summary
February 24, 2014 Foreign Banks: Overview of Dodd-Frank Enhanced Prudential Standards Final Rule
Client Memorandum
February 12, 2014 M&A Brokers Receive No-Action Relief from Broker-Dealer Registration
Client Memorandum
February 10, 2014 Who Knew that CLOs were Hedge Funds?
Client Memorandum
February 4, 2014 UK Financial Conduct Authority Consultation on Sponsor Competence
Client Memorandum
February 3, 2014 Dodd-Frank Progress Report
Client Newsletter
January 29, 2014 Risk Governance: Visual Memorandum on Guidelines Proposed by the OCC
Client Memorandum
January 27, 2014 How to Design a Volcker Rule Trading Compliance Program
Compliance Reporter, Vol. XXI, No. 2
January 23, 2014 Preparing Your 2013 Form 20-F
Client Memorandum
January 21, 2014 Revised Basel III Leverage Ratio: Visual Memorandum
Client Memorandum
January 8, 2014 SEC Approves New FINRA Supervision Rules
Client Memorandum
January 7, 2014 CFTC Issues Cross-Border Substituted Compliance Determinations, Provides Limited Phase In for Some Swap Requirements
Client Memorandum
January 5, 2014 Volcker Rule Final Regulations: Funds Flowcharts
Client Memorandum
January 3, 2014 Comment: Regulatory Predictions for 2014
January 2, 2014 Dodd-Frank Progress Report
Client Newsletter
December 31, 2013 SEC Proposes Rules for Crowdfunding Intermediaries
Financial Fraud Law Report
December 23, 2013 Volcker Rule Final Regulations: Proprietary Trading Flowcharts
Client Memorandum
December 22, 2013 CFTC Announces Cross-Border Substituted Compliance Determinations, Provides Limited Phase-In for Some Swap Requirements
Client Newsflash
December 18, 2013 Investment Banks Face Challenges Under New Municipal Advisor Rules
Regulatory Reform, New York Law Journal (December 16, 2013)
December 11, 2013 PCAOB Proposals Would Significantly Impact Public Company Audits
Client Newsflash
December 2, 2013 Dodd-Frank Progress Report
Client Newsletter
November 18, 2013 CFTC Re-Proposes Position Limits for 28 Physical Commodity Futures, Options and Swaps and Revised Aggregation Standards
Client Memorandum
November 18, 2013 SEC Proposes Rules for Crowdfunding Intermediaries
Client Memorandum
November 1, 2013 The Cross-border Impact of the Dodd-Frank Act
A Practitioner’s Guide to the Regulation of Investment Banking, Third Edition, Oxford University Press, 2013
November 1, 2013 Dodd-Frank Progress Report
Client Newsletter
October 30, 2013 U.S. Basel III Liquidity Coverage Ratio Proposal: Visual Memorandum
Client Memorandum
October 22, 2013 FINRA Issues Report on Broker-Dealer Conflicts of Interest
Client Memorandum
October 8, 2013 FINRA Issues Notice To Members Discussing Examination Findings Regarding the Revised Suitability Requirements
Client Newsflash
October 7, 2013 SEC Releases Final Municipal Advisor Registration Rules Part II: Permanent Registration Process
Client Memorandum
October 3, 2013 SEC Issues FAQ Regarding Supervisory Responsibility for Legal and Compliance Personnel
Client Memorandum
October 2, 2013 SEC Releases Final Municipal Advisor Registration Rule Part I: Who is a Municipal Advisor?
Client Memorandum
October 1, 2013 Dodd-Frank Progress Report
September 18, 2013 Basel Committee and IOSCO Release Final Policy Framework for Uncleared Derivatives Margin
Client Memorandum
September 9, 2013 CFTC Adopts Final Harmonization Rules for Commodity Pool Operators
Client Memorandum
September 3, 2013 Dodd-Frank Progress Report
August 12, 2013 SEC Adopts Amendments to Broker-Dealer Financial Responsibility, Reporting and Audit Requirements
Client Memorandum
August 8, 2013 European Regulatory Snapshot: Remuneration in the Financial Services Industry
Client Memorandum
July 30, 2013 France Ring-Fences Proprietary Trading Activities
Client Memorandum
July 29, 2013 CFTC Finalizes Cross-Border Swaps Guidance and Establishes Compliance Schedule
July 23, 2013 France Implements Bail-In
Client Memorandum

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