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June 26, 2017 Issue 12: Lex et Brexit — Supervisory Convergence in Financial Services and Proposals Amend the EMIR Supervisory Regime
Client Newsletter
May 15, 2017 CFTC’s Project KISS Gets Underway: Giancarlo Makes the First Move
Client Memorandum
April 27, 2017 FINRA Proposes Desk Commentary Safe Harbor
Client Memorandum
April 5, 2017 Issue 11: Lex et Brexit — Cross-border models for financial services and SEs and cross-border mergers
February 7, 2017 ESMA Practical Guide to National Rules on Notifications of Major Shareholdings Across EEA under the Transparency Directive
Client Memorandum
January 26, 2017 Comparison of Legislation in the 115th Congress Affecting the Rulemaking Process
Client Memorandum
January 25, 2017 Webcast: OCC’s New Special-Purpose Charter – Business Opportunities and Challenges for FinTech and Beyond
December 22, 2016 SEC Announces Two Enforcement Actions Regarding Restrictive Language in Severance Agreements
Client Memorandum
October 19, 2016 Security-Based Swap Implementation Timing Update
Client Memorandum
August 22, 2016 SEC Adopts Amendments to Regulation SBSR
Client Memorandum
July 27, 2016 FINRA Proposes Reporting Requirements for Treasury Securities
Client Memorandum
July 19, 2016 Dodd-Frank Progress Report: Six-Year Anniversary
Client Newsletter
May 24, 2016 SEC Adopts Business Conduct Rules for Security-Based Swap Dealers
Client Memorandum
March 24, 2016 Preparing for U.S. Uncleared Swap Margin Rules
compliancereporter.com, Vol. XXIII, No. 6, March 21, 2016
March 2, 2016 FDIC and SEC Propose Rules to Implement the Provisions for Covered Broker-Dealers under Title II of Dodd-Frank
Client Memorandum
January 4, 2016 Dodd-Frank Progress Report: Fourth Quarter 2015
Client Newsletter
October 1, 2015 Dodd-Frank Progress Report: Third Quarter 2015
Client Newsletter
September 15, 2015 Whistleblowers Who Report Alleged Wrongdoing Internally Are Entitled to Dodd-Frank’s Anti-Retaliation Protections
Client Memorandum
July 16, 2015 Dodd-Frank Turns Five
Client Newsletter
April 1, 2015 Dodd-Frank Progress Report: First Quarter 2015
Client Newsletter
January 5, 2015 Dodd-Frank Progress Report
Client Newsletter
December 1, 2014 Dodd-Frank Progress Report
Client Newsletter
November 3, 2014 Dodd-Frank Progress Report
Client Newsletter
October 1, 2014 Dodd-Frank Progress Report
Client Newsletter
September 2, 2014 Dodd-Frank Progress Report
Client Newsletter
July 18, 2014 Dodd-Frank Four-Year Anniversary Progress Report
Client Newsletter
July 1, 2014 Dodd-Frank Progress Report
Client Newsletters
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 1, 2014 Dodd-Frank Progress Report
Client Newsletter
April 1, 2014 Dodd-Frank Progress Report
Client Newsletter
March 24, 2014 Dodd-Frank Enhanced Prudential Standards for Foreign Banks with Limited U.S. Footprints: Visual Memorandum
Client Memorandum
March 3, 2014 Dodd-Frank Progress Report
Client Newsletter
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 3, 2014 Dodd-Frank Progress Report
Client Newsletter
January 2, 2014 Dodd-Frank Progress Report
Client Newsletter
December 2, 2013 Dodd-Frank Progress Report
Client Newsletter
November 1, 2013 Dodd-Frank Progress Report
Client Newsletter
October 1, 2013 Dodd-Frank Progress Report
September 3, 2013 Dodd-Frank Progress Report
July 18, 2013 Dodd-Frank Three-Year Anniversary Progress Report
July 1, 2013 Dodd-Frank Progress Report
June 3, 2013 Dodd-Frank Progress Report
May 1, 2013 Dodd-Frank Progress Report
Client Newsletter
April 1, 2013 Dodd-Frank Progress Report
Client Newsletter
March 1, 2013 Dodd-Frank Progress Report
February 1, 2013 Dodd-Frank Progress Report
January 2, 2013 Dodd-Frank Progress Report
Client Newsletter
December 17, 2012 Dodd-Frank Enhanced Prudential Standards for Foreign Banking Organizations – Summary with Visuals
Client Memorandum

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