Charles Pesant

Charles Pesant

White & Case LLP

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The Volcker Rule’s Impact on CLO Issuances and other Securities Offerings

Section 619 of the Dodd-Frank Wall Street Reform Act of 20101 (the “Dodd-Frank Act”) – commonly known as the “Volcker Rule” – adds a new section 13 to the Bank Holding Company Act of 1956, as amended, and prohibits “banking...more

4/30/2015 - Bank Holding Company Act Banking Sector Dodd-Frank Investment Company Act of 1940 Offerings SEC Volcker Rule

CLO Risk Retention: The Headline Hurts; the Hit, Not So Much

More than a year after the Office of the Comptroller of the Currency of the Department of the Treasury, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Securities and...more

11/3/2014 - Asset-Backed Securities Collateralized Loan Obligations Compliance Dodd-Frank FDIC HUD OCC Risk Retention SEC U.S. Treasury

City of Pontiac: Second Circuit Further Limits When US Securities Laws May Reach Non-US Securities and Issuers

In City of Pontiac Policemen’s and Firemen’s Retirement System v. UBS AG (“City of Pontiac”), the US Court of Appeals for the Second Circuit clarified an earlier ruling and further limited when US securities laws may reach...more

5/15/2014 - Broker-Dealer City of Pontiac Section 10(b) Securities Exchange Act Securities Litigation

CLO Risk Retention: Late-Season Predictions

For college football fans, the regular season is drawing to an end, which means it is time for the pundits to start breaking out the bowl game predictions. Of course the experts never get it fully correct (who could have...more

12/5/2013 - Collateralized Debt Obligations Dodd-Frank Risk Retention

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