December 31, 2013 SEC Proposes Rules for Crowdfunding Intermediaries
Financial Fraud Law Report
December 31, 2013 Tough Tone at the Top of the SEC
Financial Fraud Law Report
Matthew Bender & Company, Inc.
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 20, 2013 Investment Management Regulatory Update
Client Newsletter
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 11, 2013 SEC Issues Guidance on Rule 506 “Bad Actor” Provisions
Client Newsflash
December 9, 2013 New Proposed and Final Regulations Address Withholding on “Dividend Equivalents”
Client Memorandum
December 6, 2013 Lingering Questions on Foreign Sovereignty and Separation of Powers After the Vitamin C Price-Fixing Verdict
Antitrust, vol. 28, no. 1, Fall 2013, American Bar Association
December 5, 2013 Shifting Paradigms in Market Definition – From Staples/Office Depot to AMR/US Airways
The Threshold, vol. XIV, no. 1, Fall 2013, American Bar Association
December 5, 2013 Using Chapter 15 to Implement Foreign Reorganization Plans in the U.S.
Corporate Restructuring and Bankruptcy
New York Law Journal, December 2, 2013
December 4, 2013 Nasdaq Proposes More Flexible Compensation Committee Independence Standards
Client Newsflash
December 2, 2013 Dodd-Frank Progress Report
Client Newsletter
November 26, 2013 Investment Management Regulatory Update
November 20, 2013 ResCap Court Holds That Debt Issued in Fair Value Exchanges Will Not be Discounted for OID in Bankruptcy
Insolvency and Restructuring Update
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 7, 2013 Enhancing the Effectiveness of the UK Listing Regime – Feedback and Further Consultation
Client Memorandum
November 7, 2013 FTC Finalizes Amendments to the Premerger Notification Rules Related to the Transfer of Exclusive Patent Rights in the Pharmaceutical Industry
Client Memorandum
November 6, 2013 Sustainability Disclosure in Annual Reports and Proxy Statements | August 2013
The Harvard Law School Forum on Corporate Governance and Financial Regulation
November 5, 2013 Prospectus Disclosure Regime in Europe
Client Memorandum
November 1, 2013 Bondholders Encounter Unexpected Turbulence
American Bankruptcy Institute Journal
November 1, 2013 Dodd-Frank Progress Report
Client Newsletter
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 The International Capital Markets Review: United Kingdom
Law Business Research
October 30, 2013 Exclusive Forum Provisions: Is Now the Time to Act?
Client Newsflash
October 30, 2013 U.S. Basel III Liquidity Coverage Ratio Proposal: Visual Memorandum
Client Memorandum
October 25, 2013 Judgment Call: Don't become a basket case

The Deal Pipeline, October 25, 2013

October 24, 2013 SEC Proposes Crowdfunding Rules Under JOBS Act
Client Newsflash
October 24, 2013 European Regulatory Snapshot: The Amended Transparency Directive
Client Memorandum
October 22, 2013 FINRA Issues Report on Broker-Dealer Conflicts of Interest
Client Memorandum
October 22, 2013 Investment Management Regulatory Update
Client Newsletter
October 22, 2013 U.K. Takeover Panel Amends Regime for Profit Forecasts and Quantified Financial Benefits Statements
Client Memorandum
October 16, 2013 Avoid Insider Status in Bankruptcy: Lessons from Capmark Financial Group Inc. v. Goldman Sachs Credit Partners, L.P.
Bloomberg BNA's Bankruptcy Law Reporter
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 7, 2013 Tone at the Top (of the SEC): Tough
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 Acquisitions and Disposals by Listed Companies
Institute of Chartered Secretaries and Administrators
October 1, 2013 Chapter on French Insolvency Law
The International Insolvency Review 2013, Chapter 11, pp. 146-159
October 1, 2013 Complexity
28 Antitrust No. 1, American Bar Association
October 1, 2013 Dodd-Frank Progress Report
October 1, 2013 Recognition and Comity in Cross-border Insolvency Proceedings, Chapter 1

The International Insolvency Review, First Edition, Law Business Research Ltd., 2013

October 1, 2013 United States, Chapter 26

The International Insolvency Review, First Edition, Law Business Research Ltd., 2013

September 27, 2013 No SEC Shutdown
Client Memorandum
September 26, 2013 Investment Management Regulatory Update
Client Newsletter
September 25, 2013 Government Merger Challenges
Client Newsflash
September 25, 2013 Tribune State-Law Fraudulent Conveyance Litigation Update
Client Memorandum
September 20, 2013 Proposed Pay Ratio Disclosure Rule Released by the SEC
Client Memorandum
September 18, 2013 Basel Committee and IOSCO Release Final Policy Framework for Uncleared Derivatives Margin
Client Memorandum
September 17, 2013 Getting the Deal Through - Merger Control 2014
United States
Law Business Research
September 17, 2013 United States: Anti-Cartel Enforcement
The Antitrust Review of the Americas 2014
Global Competition Review
September 10, 2013 PCAOB Proposals Would Significantly Expand Auditor Responsibility
Client Newsflash
September 9, 2013 CFTC Adopts Final Harmonization Rules for Commodity Pool Operators
Client Memorandum
September 9, 2013 The Appointment of Delegates Under the AIFMD
Key considerations and practical implications
The Hedge Fund Journal
September 3, 2013 Dodd-Frank Progress Report
August 28, 2013 Briefings on the 2013 New Hong Kong IPO Sponsor Regime
August 28, 2013 达维简报 - 2013年香港首次公开招股保荐人机制的最新修订
August 20, 2013 Investment Management Regulatory Update
Client Newsletter
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
August 6, 2013 First Circuit Sun Capital Decision Increases ERISA Exposure for Private Equity Funds
Client Memorandum
August 1, 2013 Viewpoint: Who Owns a Distressed Bank’s Tax Refunds?
Dow Jones | Daily Bankruptcy Review
July 31, 2013 Testimony Before the Senate Banking Subcommittee on Financial Institutions and Consumer Protection
Hearing on “Examining Financial Holding Companies: Should Banks Control Power Plants, Warehouses, and Oil Refineries?”
July 30, 2013 Foreign Bank Acquisitions of U.S. Banks and Thrifts (Chapter 7, Co-Author)
Regulation of Foreign Banks and Affiliates in the United States (7th ed.)
July 30, 2013 Foreign Banks as U.S. Financial Holding Companies (Chapter 11, Co-Author)
Regulation of Foreign Banks and Affiliates in the United States (7th ed.)
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 28, 2013 Private Offering Reform: Analysis and Implications
Client Memorandum
July 25, 2013 HK Profit Announcements: To Warn or Not to Warn?
Article of Interest
July 24, 2013 The Hong Kong Stock Exchange Releases Revised Rules and Procedures to Implement New IPO Sponsor Regime
Client Memorandum
July 24, 2013 U.S. District Court Upholds Conflict Minerals Rules
Client Newsflash
July 23, 2013 France Implements Bail-In
Client Memorandum
July 19, 2013 Basel III Leverage Ratio: U.S. Proposes American Add-on; Basel Committee Proposes Important Denominator Changes
Client Memorandum
July 18, 2013 Dodd-Frank Three-Year Anniversary Progress Report
July 18, 2013 Investment Management Regulatory Update
Client Newsletter
July 18, 2013 The U.S. Basel III Final Rule for Community, Regional and Foreign Banking Organizations
July 15, 2013 Swaps Pushout Rule: Federal Reserve Banks Revise Discount Window Documentation
Client Newsflash
July 11, 2013 U.S. Basel III: Interactive Risk Weights Tool
July 10, 2013 SEC Adopts Private Offering Reforms Mandated by JOBS Act
Client Newsflash
July 8, 2013 U.S. Basel III Final Rule: Visual Memorandum
Client Memorandum
July 1, 2013 Corporate Governance 2013: Global Overview
Getting the Deal Through – Corporate Governance 2013
July 1, 2013 Dodd-Frank Progress Report
July 1, 2013 Sustainability Disclosure in Public Company Annual Reports and Proxy Statements – State of Play and the Future
Article of Interest
June 26, 2013 Delaware Court of Chancery Upholds Statutory and Contractual Validity of Exclusive Forum-Selection Bylaws
Client Memorandum
June 25, 2013 American Express Co. v. Italian Colors Restaurant: Supreme Court Upholds Contractual Provision Waiving Class Arbitration
Client Memorandum
June 24, 2013 Investment Management Regulatory Update
Client Newsletter
June 24, 2013 OCC Lending Limits Final Rule: Credit Exposures from Derivatives and Securities Financing Transactions
Client Memorandum
June 18, 2013 FTC v. Actavis: Supreme Court Rejects Bright Line Tests for Reverse Payment Settlements; Complex Questions Remain in Structuring Pharmaceutical Patent Infringement Settlements
Client Memorandum
June 12, 2013 Prospectus Liability Regimes in Europe – June 2013
Client Newsflash
June 11, 2013 SEC Proposes Amendments to Money Market Fund Rules
Client Memorandum
June 6, 2013 Swaps Pushout Rule: Federal Reserve Clarifies Treatment of U.S. Branches of Foreign Banks
Client Memorandum
June 5, 2013 CFTC Finalizes SEF Rules and Adopts Minimum Block Trade Sizes
Client Memorandum
June 5, 2013 CFTC Provides Clearing Relief for Treasury Affiliates of Commercial Swap Counterparties
Client Newsflash
June 4, 2013 Civil Enforcement of Securities Violations in Hong Kong Section 213 of the Securities and Futures Ordinance
Client Memorandum
June 4, 2013 The Impact of the Alternative Investment Fund Managers Directive on Non-E.U. Managers of Non-E.U. Funds
Client Memorandum
June 3, 2013 Dodd-Frank Progress Report
May 31, 2013 Delaware Court Applies Business Judgment Rule to Going-Private Merger with Controlling Stockholder
Client Newsflash
May 31, 2013 SEC Issues Guidance on Conflict Minerals
Client Newsflash
May 21, 2013 U.K. Takeover Panel Response to Consultation – May 2013
Client Newsflash
May 17, 2013 The Investment Advisers Act of 1940: Regulation by Accretion
Rutgers Law Journal, Vol. 39:627
May 17, 2013 The Odious Debt Doctrine After Iraq
Law and Contemporary Problems, Vol. 70:139
May 16, 2013 Investment Management Regulatory Update
Client Newsletter
May 16, 2013 SEC Proposes Cross-Border Security-Based Swap Rules
Client Memorandum
May 15, 2013 New and Proposed Research Rules Create Compliance Challenges for Banks
New York Law Journal: Financial Reform
May 14, 2013 Too Big to Fail: The Path to a Solution
A Report of the Failure Resolution Task Force of the Financial Regulatory Reform Initiative of the Bipartisan Policy Center
May 13, 2013 The SEC’s Northern Lights Enforcement Action: Implications For Fund Directors
Client Memorandum
May 3, 2013 Compensation Committee and Adviser Implementation Begins July 1: What to Do Now
Client Memorandum
May 2, 2013 FINRA Releases Additional Guidance Regarding the Use of Pre-Inception Index Performance in Institutional Communications
Client Newsflash
May 1, 2013 Dodd-Frank Progress Report
Client Newsletter
April 30, 2013 Brown-Vitter Bill
Commentary and Analysis
April 30, 2013 International Organization of Securities Commissions Releases Consultation Report on Regulation of Retail Structured Products
Client Newsflash
April 29, 2013 Investment Management Regulatory Update
Client Newsletter
April 23, 2013 Recent European Compensation Developments: Financial Institutions and Beyond
Client Memorandum
April 21, 2013 Regulation Through Substitution as Policy Tool: Swap Futurization Under Dodd-Frank
Working Paper
April 15, 2013 CFTC Provides Inter-affiliate Swap Clearing and Reporting Relief
Client Memorandum
April 15, 2013 Resolution Planning in the United States

Randall D. Guynn, Resolution Planning in the United States, in The Bank Recovery and Resolution Directive: Europe's Solution for "Too Big to Fail?" 109-163 (Andreas Dombret, Patrick S. Kenadjian, editors, 2013).

April 15, 2013 Southern District of New York Dismisses Insider Preference Claims Against Affiliates of Goldman Sachs
Client Memorandum
April 11, 2013 Overview of U.S. Bank Regulation and Recent Developments (Chapter 57, Co-Author)
The Banking Regulation Review (4th ed., 2013)
April 8, 2013 Swap Reforms: Tasks for Asset Management CCOs
Compliance Reporter, Vol. XX, No. 7, Institutional Investor,
April 5, 2013 Chinese Antitrust Authority Releases Draft Regulations on “Simple” Mergers, Merger Remedies
Client Memorandum
April 4, 2013 SEC Explains How to Use Social Media for Regulation FD Compliance
Client Memorandum
April 1, 2013 Designation of Asset Managers and Funds As Systemically Important Non-Bank Financial Institutions: Process and Industry Implications: Part 2 of 2

Investment Lawyer | Vol. 20, No. 4 | April 2013

April 1, 2013 Dodd-Frank Progress Report
Client Newsletter
March 28, 2013 On Its One-Year Anniversary, Two Cheers for the JOBS Act
March 28, 2013 Supreme Court Issues Significant Class Certification Decision in Antitrust Case
Client Newsflash
March 27, 2013 Chinese Vitamin C Producers Price-Fixing Verdict Raises Questions of Comity and Conflict with Executive Branch Views
Client Memorandum
March 27, 2013 Guidance on Rule 15a-6 and Foreign Broker-Dealers
Client Newsflash
March 26, 2013 Supreme Court Hears Oral Argument Involving “Reverse Payment” Patent Infringement Settlements
Client Memorandum
March 25, 2013 Investment Management Regulatory Update
Client Newsletter
March 11, 2013 An Asset Manager’s Guide to Swap Trading in the New Regulatory World
Client Memorandum
March 5, 2013 U.S. Supreme Court Confirms that Limitations Period for Certain Federal Enforcement Actions Begins When Fraud Occurs; Application In FCPA Matters Remains Unclear
Client Memorandum
March 4, 2013 Corporate Restructuring and Bankruptcy
Bankruptcy Settlements and the Common Interest Privilege
New York Law Journal
March 1, 2013 Designation of Asset Managers and Funds As Systemically Important Non-Bank Financial Institutions: Process and Industry Implications: Part 1 of 2

Investment Lawyer | Vol. 20, No. 3 | March 2013

March 1, 2013 Dodd-Frank Progress Report
March 1, 2013 Swap Reporting: Who and When?
Futures Industry
February 27, 2013 Investment Management Regulatory Update
Client Newsletter
February 25, 2013 Basel Committee and IOSCO Release Second Consultative Paper on Uncleared Derivatives Margin
Client Memorandum
February 20, 2013 Delaware Court of Chancery Declines to Dismiss Claims Against U.S. Independent Directors for Failure to Monitor China-Based Company
Client Newsflash
February 15, 2013 FDIC Proposal on Foreign Branch Deposits: Dual Payability, Depositor Preference and Deposit Insurance
Client Memorandum
February 15, 2013 FINRA Requests Comment on Proposed Rules Governing Markups, Commissions and Fees
Client Memorandum
February 13, 2013 Strategic Growth Bancorp’s Acquisition and Recapitalization of Mile High Banks in a Section 363 Sale
Client Memorandum
February 12, 2013 Can Selfish Be Substantial? The Role of Motivation in Substantial Contribution Claim Standards
ABI Journal, February 2013
February 12, 2013 Can Selfish Be Substantial? The Role of Motivation in Substantial Contribution Claim Standards
Client Memorandum
February 12, 2013 Concluding Remarks at the Federal Reserve Bank of New York
Impact of U.S. Regulatory Reform on Global Banks: Key Perspectives on the Major Areas
February 1, 2013 Dodd-Frank Progress Report
January 31, 2013 China Antitrust Review 2012
Client Memorandum
January 28, 2013 Implications for the CFPB After the D.C. Circuit’s Recess Appointments Decision
Client Memorandum
January 23, 2013 FINRA Issues Voluntary Interim Form for Crowdfunding Portals
Client Memorandum
January 22, 2013 Investment Management Regulatory Update
Client Newsletter
January 22, 2013 SEC Approves the NYSE and Nasdaq Listing Standards on Compensation Committees and Advisers
Client Memorandum
January 18, 2013 2012 年度フォーム20-F の作成について(参考和訳)
Client Memorandum
January 18, 2013 Preparing Your 2012 Form 20-F
Client Memorandum
January 18, 2013 Rule 10b5-1 Plans: What You Need to Know
January 17, 2013 Basel Committee Revises Basel III Liquidity Coverage Ratio
Client Memorandum
January 17, 2013 Recent Developments in Executive Compensation Litigation
Client Memorandum
January 15, 2013 Certain Severance Benefits Are Not Subject to FICA Payroll Taxation: Sixth Circuit Denies Petition for En Banc Rehearing of Its Holding in Quality Stores
Client Memorandum
January 14, 2013 U.S. Basel III Proposals: Infographic
BankDirector.com
January 11, 2013 Revised Jurisdictional Thresholds Under the HSR Act and for the Prohibition of Interlocking Directorates
Client Memorandum
January 10, 2013 Approaching the Effective Date of the New FINRA Communications Rules
Client Memorandum
January 7, 2013 Swaps Pushout Rule: OCC Prepared to Grant Two-Year Transition Period to Federal Insured Depository Institutions
Client Memorandum
January 3, 2013 Comment: 13 Regulatory Reform Predictions for ’13
January 3, 2013 SEC Adopts New Obligations for Broker-Dealers Regarding Lost Securityholders and Unresponsive Payees
Client Memorandum
January 2, 2013 Dodd-Frank Progress Report
Client Newsletter
December 27, 2012 CFTC Issues Final Cross-Border Swap Exemptive Order
Client memorandum
December 20, 2012 Investment Management Regulatory Update
Client Newsletter
December 17, 2012 Dodd-Frank Enhanced Prudential Standards for Foreign Banking Organizations – Summary with Visuals
Client Memorandum
December 17, 2012 SEC Charges Mutual Fund Directors for Inadequate Valuation Oversight
Client Newsflash
December 17, 2012 Visuals: Dodd-Frank Proposal for Foreign Banking Organizations
December 14, 2012 European Commission Action Plan on Corporate Governance of Listed Companies
Client Memorandum
December 13, 2012 Plan d’Action de la Commission Européenne sur la Gouvernance des Sociétés Cotées
Client Memorandum
December 11, 2012 Guidance on FINRA’s Suitability Rule
Client Newsflash
December 5, 2012 SEC Issues Guidance on New Iran Disclosure Requirements
Client Newsflash
December 3, 2012 Dodd-Frank Progress Report
December 2, 2012 Governor Tarullo Foreshadows Proposal to Ring-Fence Large U.S. Operations of Foreign Banks
Client Memorandum
December 1, 2012 Recent Developments in Adequate Protection Under Section 361
Norton Annual Survey of Bankruptcy Law & Practice, 2012 Edition
November 27, 2012 Investment Management Regulatory Update
Client Newsletter
November 27, 2012 香港資本市場における近時の進展(参考和訳)
Client Newsflash
November 20, 2012 ISS Issues Final 2013 Voting Policy Updates
Client Memorandum
November 19, 2012 Treasury Issues FX Swap and FX Forward Exemption
Client Newsflash
November 16, 2012 DOJ and SEC Issue FCPA Guidance
Client Memorandum
November 14, 2012 2013 CCAR Process Begins and U.S. Basel III Rules Are Delayed
Client Memorandum
November 13, 2012 Global Compliance and Investigations Group
Winter 2012
November 12, 2012 Getting the Deal Through - Merger Control 2013
United States
Law Business Research
November 12, 2012 Impact of Dodd-Frank Derivatives Regulations on Latin American Financial Institutions
November 6, 2012 Hong Kong Capital Market Developments
November 5, 2012 SEC Proposes Capital, Margin, and Segregation Rules for Security-Based Swap Dealers
Client Memorandum
November 1, 2012 Dodd-Frank Progress Report
Client Newsletter
October 29, 2012 Hong Kong Stock Exchange Clarifies Pre-IPO Investment Policies
Client Memorandum
October 26, 2012 Implementing the SEC’s Final Conflict Mineral Rules: Guidelines and Commonly Asked Questions
Client Memorandum
October 18, 2012 ISS Proposes 2013 Voting Policy Updates
Client Memorandum
October 18, 2012 SEC Legal Bulletin on Shareholder Proposals
Client Newsflash
October 17, 2012 Investment Management Regulatory Update
Client Newsletter
October 16, 2012 Treasury Addresses Change In-Control Cash-Out Provisions
Tax Analysts
October 13, 2012 CFTC Clarifies Temporary Application of Swap Regulations and Delays Some Swap-Related Requirements
Client Newsflash
October 9, 2012 OCIE Staff Report on Broker-Dealer Information Barrier Practices
Client Memorandum
October 2, 2012 NYSE and Nasdaq Propose Listing Standards on Compensation Committees and Advisers
Client Memorandum
October 1, 2012 Dodd-Frank Progress Report
Client Newsletter

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