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 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
October 1, 2012 Securities Offerings During Blackout Periods and Following a Quarter-End: What You Need to Know
Client Memorandum
September 28, 2012 FTC Fines Acquirer $850,000 for Failure to File Under HSR Act for Incremental Purchases of a Public Issuer
Client Memorandum
September 26, 2012 Investment Management Regulatory Update
Client Newsletter
September 18, 2012 Davis Polk Video Interview - Insights on the JOBS Act
Video Interview
September 12, 2012 CFTC Clarifies Swap Dealer Registration Timing
Client Memorandum
September 12, 2012 United States Enacts Further Sanctions on Iran and Syria: the Iran Threat Reduction and Syria Human Rights Act of 2012
Client Memorandum
September 6, 2012 Equity cure and ECF: Traps and tricks

The Deal Pipeline, September 6, 2012

September 5, 2012 New Law Requires Issuers to Disclose Certain Iran-Related Transactions
Client Memorandum
September 4, 2012 Dodd-Frank Progress Report
Client Newsletter
September 4, 2012 SEC Issues Proposal to Eliminate General Solicitation Ban as Mandated by the JOBS Act
Client Newsflash
August 24, 2012 NFA Proposes to Amend Rules to Impose New Swaps Registration Requirement on FCMs, IBs, CPOs and CTAs
Client Newsflash
August 24, 2012 SEC Staff Issues FAQs on JOBS Act Research Provisions
Client Newsflash
August 23, 2012 SEC Announces First Whistleblower Program Award
Client Newsflash
August 22, 2012 Investment Management Regulatory Update
Client Newsletter
August 22, 2012 SEC Adopts Final Conflict Minerals Rules with Notable Changes
Client Newsflash
August 22, 2012 SEC Adopts Final Rules Implementing Dodd-Frank Disclosure Requirements for Resource Extraction Issuers
Client Newsflash
August 21, 2012 DOJ Provides FCPA Guidance for Mergers and Acquisitions; Continues Industry-Wide Investigations and Focus on China
Client Memorandum
August 20, 2012 CFTC Proposes Clearing Exemption for Inter-Affiliate Swaps
Client Newsflash
August 20, 2012 Corporate Governance 2012: Global Overview
Getting the Deal Through – Corporate Governance 2012
August 20, 2012 FTC Proposes Amendments to the Premerger Notification Rules Related to the Transfer of Exclusive Patent Rights in the Pharmaceutical Industry
Client Memorandum
August 8, 2012 The Evolution of Sports Bankruptcies
Dow Jones DBR Small Cap
July 30, 2012 CFTC Begins Implementation of Mandatory Clearing of Swaps
Client Newsflash
July 30, 2012 Exit Consents Unlawful Under English Law
Client Newsflash
July 23, 2012 CFPB Announces First Enforcement Action
Client Newsflash
July 19, 2012 CFTC Addresses Compliance Dates for CPO/CTA Registration; Swap Definitions Finalized; CFTC Provides Cross-Border Guidance
Client Newsflash
July 19, 2012 Expansion in Global Reach of U.S. Antitrust Laws
Client Newsflash
July 19, 2012 SEC Adopts Rule Requiring Consolidated Audit Trail
Client Memorandum
July 18, 2012 Dodd-Frank Two-Year Anniversary Progress Report
July 17, 2012 Key Dodd-Frank Derivatives Issues for End Users
Client Memorandum
July 16, 2012 Federal Reserve Issues Guidance on Pre-Filing Review Process
Client Newsflash
July 16, 2012 Investment Management Regulatory Update
Client Newsletter
July 16, 2012 Sunbeam Products – Offering a Ray of Light for Trademark Licensees When Licensors File for Bankruptcy
Client Memorandum
July 12, 2012 U.K. Takeover Panel Consultations – July 2012
Client Newsflash
July 11, 2012 Living Wills: Key Lessons from the First Wave for Second and Third Wave Filers
Client Memorandum
July 11, 2012 SEC and CFTC Finalize Swap Product Definitions: the Title VII Swap Countdown Begins
Client Newsflash
July 10, 2012 Basel Committee and IOSCO Release Consultation Paper on Uncleared Derivatives Margin; CFTC Reopens Comment Period on Uncleared Swap Margin Proposal
Client Newsflash
July 3, 2012 CFTC Proposes Cross-Border Guidance and Exemptive Order
Client Newsflash
July 2, 2012 Dodd-Frank Progress Report
June 25, 2012 U.K. Announces Proposals Intended to Curb Executive Compensation
Client Memorandum
June 25, 2012 Vitro’s Mexican Plan of Reorganization Denied Comity in the U.S.
Insolvency and Restructuring Update
June 22, 2012 CFPB Issues Final Rules Governing Enforcement Procedures and Practices
Client Alert
June 22, 2012 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.)
June 22, 2012 Foreign Banks as U.S. Financial Holding Companies (Chapter 10, Co-Author)
Regulation of Foreign Banks and Affiliates in the United States (6th ed.)
June 22, 2012 OCC Revises Lending Limit Rules to Implement Dodd-Frank: Provides Methods for Calculating “Credit Exposure"
Client Newsflash
June 21, 2012 SEC Finalizes Independence Rules for Compensation Committees and Advisers
Client Memorandum
June 19, 2012 Investment Management Regulatory Update
Client Newsletter
June 14, 2012 New Merger Control Regime Now in Force in Brazil
Client Memorandum
June 12, 2012 U.S. Basel III Capital Proposed Rules and Market Risk Final Rule: Out with the Old, In with the New
Client Newsflash
June 6, 2012 SEC Approves “Limit Up-Limit Down” Plan and Tighter Circuit Breakers
Client Newsflash
June 5, 2012 CFTC Adopts Historical Swap Recordkeeping and Reporting Requirements
Client Memorandum
June 1, 2012 Dodd-Frank Progress Report
June 1, 2012 Swap Reporting Clearing & Trading: A Timing Guide
Futures Industry
May 29, 2012 香港資本市場における近時の進展(参考和訳)
Client Newsletter
May 24, 2012 Chinese Antitrust Regulator MOFCOM Approves Google’s Acquisition of Motorola with Conditions
Client Newsflash
May 24, 2012 Mid-Season Update on the 2012 Proxy Season
Client Memorandum
May 23, 2012 FSOC Proposes Hearing Procedures for Systemic Designations of Nonbank Financial Companies and Financial Market
Client Newsflash
May 22, 2012 CFTC Proposes Exemptions from Aggregation under Its Position Limits Rule
Client Memorandum
May 22, 2012 Merger Enforcement Across Political Administrations In The United States
Concurrences: Competition Law Journal
May 21, 2012 CFTC Chairman Gensler Previews Key Elements of Dodd-Frank Title VII Cross-Border Guidance
Client Newsflash
May 17, 2012 Investment Management Regulatory Update
Client Newsletter
May 16, 2012 Hong Kong Regulator Turns Up the Heat on IPO Sponsors
Client Memorandum
May 16, 2012 SEC Approves MSRB Interpretive Notice on Municipal Security Underwriters
Client Memorandum
May 11, 2012 Federal Reserve’s Comprehensive Consolidated Supervision Determination for Chinese Banks Has Broader Implications
Client Memorandum
May 11, 2012 Hong Kong Capital Market Developments
Client Newsletter
May 9, 2012 Regulatory Collateral: TerreStar, Tracy Broadcasting, AMR
DBR Small Cap
Dow Jones
May 8, 2012 SEC Reopens Comment Period for Proposed Amendments to Financial Responsibility Rules for Broker-Dealers
Client Memorandum
May 7, 2012 Delaware Court Temporarily Blocks Martin Marietta’s Hostile Bid to Acquire Rival Vulcan
Client Memorandum
May 7, 2012 SEC Staff Updates Guidance on JOBS Act
Client Memorandum
May 2, 2012 CFTC and SEC Adopt Final Swap Dealer, Major Swap Participant and Eligible Contract Participant Definitions
Client Memorandum
May 2, 2012 Major Swap Participant Analysis under Joint CFTC/SEC. Definitions Finalized on April 18, 2012
Slide Presentation
May 1, 2012 Dodd-Frank Progress Report
April 26, 2012 The JOBS Act: Potential Benefits for Foreign Private Issuers
Client Memorandum
April 23, 2012 SEC Issues Exemptions from Large Trader Reporting Rule
Client Newsflash

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