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.
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
February 24, 2014 Foreign Banks: Overview of Dodd-Frank Enhanced Prudential Standards Final Rule
Client Memorandum
February 24, 2014 U.S. Bank Holding Companies: Overview of Dodd-Frank Enhanced Prudential Standards Final Rule
Visual Summary
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

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