Anthony R.G. Nolan

Anthony R.G. Nolan

K&L Gates LLP

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OCC Explores Special Purpose National Bank Charter for Fintech Companies

On December 2, 2016, the Office of the Comptroller of the Currency (“OCC”) announced its plans to move forward with a proposal to consider applications from financial technology (“fintech”) companies to receive charters as...more

12/7/2016 - Banking Sector Banks CFPB FDIC FinTech FRB National Bank Act OCC

Better Late Than Never: The LSTA’s New Delayed Compensation Standard for Assignments of Par/Near Par Loans

In a long-awaited development, the delayed compensation standard for late settlement of par/near par loans is changing in important ways starting on September 1, 2016. On that date, the no-fault system for delayed...more

9/1/2016 - Exchange-Traded Products Financial Institutions Investment Companies Investment Company Act of 1940 Rule 22e-4 SEC

Bridging the Great Divide: Collaboration Considerations for Banks and Marketplace Lenders

Marketplace lending has grown dramatically over the last several years, but it still remains a nascent industry. As it continues to expand its reach, players in the industry and the traditional banking/investment sector are...more

7/20/2016 - Banks CFPB Community Reinvestment Act DOJ FDIC OCC Online Marketplace Lending

Certain Compliance Risks in Marketplace/Peer-to-Peer/Online Lending

The tragic terrorist shootings in San Bernardino on December 2, 2015 shed light on serious risks associated with online marketplace lending. The attackers obtained $28,500 from an online marketplace lender under a pretext,...more

2/15/2016 - BSA/AML Capital Raising Emerging Growth Companies Financial Services Industry Investors Online Marketplace Lending Peer-to-Peer

Securities Law Considerations in Online Marketplace Lending

Online lending marketplaces have recently emerged as a prominent feature in credit markets. The rapid growth of the marketplace lending industry is reflected in the profusion of names that have been used to describe this type...more

2/4/2016 - Financial Sector Form S-1 Online Marketplace Lending Peer-to-Peer Registration Requirement Regulation A Risk Retention

Mining collapse echoes subprime mortgage crisis

From its peak in 2011 to the beginning of 2016, the global mining sector has gone through a wrenching 90% reduction in global market capitalization, wiping out an estimated US$1.5 trillion. Following the sub-prime mortgage...more

2/1/2016 - Australia Crude Oil Energy Sector Mining

Financing Marketplace Loans: Ten Key Things to Know Before Catching the Securitization Wave

Marketplace loans are the most exciting securitization asset class to emerge since credit cards and student loans. Securitization provides marketplace loan investors with liquidity, diversified funding and interest rate...more

1/16/2016 - Asset-Backed Securities Investors JOBS Act Liquidity Online Marketplace Lending Reporting Requirements SEC Securitization Volcker Rule

Regulation AB II: Second Time’s the Charm?

On August 27, 2014, following years of preparation, speculation and comment, the Securities and Exchange Commission (SEC) adopted Regulation AB II (Reg AB II). Reg AB II represents a response to requirements of Sections 939A...more

9/22/2014 - Asset-Backed Securities Disclosure Requirements Dodd-Frank IPO Mortgage-Backed Securities Regulation AB II Reporting Requirements Rule 144A SEC

SEC Finalizes Cross-Border Rule for Security-Based Swaps

On June 25, 2014, the United States Securities and Exchange Commission (“SEC”) adopted the first in a series of final rules and interpretive guidance related to U.S. regulation of cross-border security-based swap activities....more

7/2/2014 - CFTC Cross-Border Dodd-Frank Final Rules Major Swap Participants SEC Swaps

The Extra-territorial Impact of EMIR on Non-EU Swap Counterparties

On November 18, 2013, the European Securities and Markets Authority (“ESMA”) published its final report on technical standards detailing how the regulation of over-the-counter (“OTC”) derivative contracts in the European...more

12/10/2013 - EMIR EU European Securities and Markets Authority (ESMA) Extraterritoriality Rules OTC Swaps

Allocation of FATCA Withholding Risk in Financial Transactions Outside the United States

The U.S. Treasury Department has delayed implementation of FATCA once again. However, this delay may be the last, and a phased implementation of FATCA is scheduled to begin on July 1, 2014. FATCA introduces the potential for...more

10/23/2013 - Extraterritoriality Rules FATCA FFIs International Tax Issues U.S. Treasury Withholding Requirements

Back to the Drawing Board: Regulatory Agencies Re-Propose Risk-Retention Rules for Securitizations

On August 28, 2013, a consortium of U.S. banking, housing and securities regulators (the “Agencies”) re-proposed the joint regulations (the “Re-Proposed Rules”), to implement Section 15G of the Securities Exchange Act of...more

10/22/2013 - Banks CMBS Risk Retention Securities Exchange Act

CFTC Guidance on Cross-Border Application of United States Swap Regulations

Introduction - On July 12, 2013, the Commodity Futures Trading Commission (the “CFTC”) adopted interpretive guidance (the “Guidance”) that details the CFTC’s interpretation of the application of the Commodity Exchange...more

9/23/2013 - CEA CFTC Cross-Border Dodd-Frank Foreign Branches of U.S. Banks Major Swap Participants No-Action Relief Swap Dealers Swaps

Securitisation as a means to finance distributed solar projects

Permission to use this reprint has been granted by the publisher Financier Worldwide. The future of solar energy in the US appears uncertain. With investment tax credits set to expire in 2016 the solar industry may lose...more

1/28/2013 - Funding Renewable Energy Securitization Solar Energy

Swap Clearing and the Commercial End User Exception: Corporate Governance and Risk Management Issues for Commercial Companies

Central clearing of over-the-counter derivatives is a central pillar of the financial services reforms that are embodied in the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). The presumption...more

1/18/2013 - Commercial End-User Exception Corporate Governance Dodd-Frank End-Users Risk Management Swap Clearing Swaps

CFTC Classifies Certain Securitization Vehicles as Not Being Commodity Pools

Recent changes to the commodity pool regulations under the Commodity Exchange Act (the “CEA”) may subject certain securitization transactions and their managers to regulation by the Commodity Futures Trading Commission (the...more

12/24/2012 - CEA CFTC Commodity Pool Securitization Vehicles

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