Daniel F. C. Crowley

Daniel F. C. Crowley

K&L Gates LLP

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States Move Forward with Auto-IRA Programs: What’s Next for the Feds?

As the nation continues to struggle with the retirement preparedness gap, policymakers are exploring proposals to require employers that do not offer retirement plans to automatically enroll employees in Individual Retirement...more

7/25/2016 - DOL ERISA HELP IRA Retirement Plan

Taking on the Retirement Gap: Bipartisan Interest Grows in Open MEPs

As the U.S. continues to grapple with the retirement preparedness gap, policymakers on both sides of the aisle are increasingly focused on facilitating access to retirement plans. In the last few years, policy proposals...more

7/25/2016 - DOL ERISA HELP Multiemployer Plan Retirement Plan

The Financial CHOICE Act; Legislative Text Revealed

On June 23, 2016, House Financial Services Committee Chairman Jeb Hensarling (R-TX) released as a “discussion draft” legislative text of the Financial CHOICE Act (“FCA”), a proposal to reform the Dodd-Frank Wall Street Reform...more

6/28/2016 - Dodd-Frank Financial Services Committee National Bank Act Sarbanes-Oxley

Details Emerge about the Financial CHOICE Act

On June 15, 2016, House Financial Services Committee Chairman Jeb Hensarling (R-TX) released a more detailed summary of the Financial CHOICE Act (“FCA”), a proposal to revisit the Dodd-Frank Wall Street Reform and Consumer...more

6/27/2016 - Basel III CFPB Dodd-Frank Financial Services Committee NCUA SEC Truth in Lending Act (TILA)

The Financial CHOICE Act; Dodd-Frank Reform (Not Repeal)

On June 7, 2016, House Financial Services Committee Chairman Jeb Hensarling (R-TX) released an executive summary of the Financial CHOICE Act (the “FCA”), his highly anticipated bill to revisit the Dodd-Frank Wall Street...more

6/17/2016 - Basel III Broker-Dealer CFPB Depository Institutions Dodd-Frank ERISA Federal Reserve Fiduciary Duty Financial Institutions FSOC SEC SIFIs

DOL Finalizes The ERISA Fiduciary Regulation -- What It Means For Your Business

In the face of controversy and following thousands of comments from market participants and lawmakers, the Department of Labor (“DOL”) has finalized sweeping changes to the definition of “fiduciary” under the Employee...more

4/28/2016 - 401k Best Interest Contract Exemptions Best Interest Standard Conflicts of Interest DOL Employee Benefits ERISA Fiduciary Duty Investment Adviser Retirement Plan

The State of Capitalism in the 21st Century

On February 1, 2016, K&L Gates LLP, The Washington Times and the U.S. Chamber of Commerce held a symposium entitled “Capitalism in the 21st Century.” The event explored emerging corporate governance considerations such as...more

3/21/2016 - Corporate Governance Corporate Officers Dodd-Frank Financial Markets Financial Regulatory Reform SEC

Brexit Broker; UK Leader Strikes a Deal (Maybe)

This policy insight highlights some of the key political issues relating to the United Kingdom’s (UK) imminent referendum to decide whether to withdraw from the European Union (EU). After weeks of discussions and...more

3/10/2016 - EU Foreign Sovereigns Governance Standards Immigration Procedures Member State Referendums UK UK Brexit

Capital Markets Union: a Marathon not a Sprint

Since the Action Plan for a Capital Markets Union (“CMU”) was launched on 30 September 2015, the European Commission (“the Commission”) has initiated a number of CMU initiatives. Notably, building on the CMU’s initial...more

2/25/2016 - Capital Markets Union Capital Requirements EU European Commission Securitization

I’m OK, Eur OK; At Long Last, U.S.-EU CCP Recognition is Mutual

On February 10, the U.S. Commodity Futures Trading Commission (“CFTC”) and the European Commission (“EC”) announced a much-anticipated transatlantic agreement to harmonize European Union (“EU”) and U.S. regulations concerning...more

2/19/2016 - CCPs CFTC Cross-Border Transactions EU European Securities and Markets Authority (ESMA) Financial Sector Regulatory Oversight

European Commission publishes plans for a Capital Markets Union

On 30 September, the European Commission released its Action Plan for a Capital Markets Union (the “Action Plan”). The Capital Markets Union (“CMU”) is one of the key elements of the broader Investment Plan for Europe...more

10/8/2015 - Capital Markets Capital Markets Union Crowdfunding Economic Action Plan ELTIF EU European Commission EuVECA Financial Institutions Financing Innovation Investment Investment Funds Regulatory Standards Securitization SMEs Solvency II Startups

Dodd-Frank Turns Five, What Comes Next?

The 2008 credit crisis was the beginning of an era of unprecedented government management of the capital markets. July 21, 2015 marked the fifth anniversary of the hallmark congressional response, the Dodd-Frank Wall Street...more

8/19/2015 - Capital Markets Capital Markets Union CFPB CFTC Clawbacks Cross-Border Transactions Derivatives Dodd-Frank EU EURIBOR European Commission Executive Compensation Financial Markets Financial Regulatory Reform FSB FSOC G-SIFI Incentive Compensation Investors IOSCO Libor Liquidity Coverage Ratio Nonbank Firms Obama Administration OTC Popular Proxy Access Rule SEC Security-Based Swaps

DOL Re-Proposes Rule to make Brokers, Others, ERISA Fiduciaries

After almost five years of debate, the U.S. Department of Labor (“DOL”) is again trying to modify the ERISA definition of “fiduciary” as it relates to providing investment advice. On April 14, 2015, DOL re-proposed rules (the...more

4/29/2015 - Benefit Plan Sponsors Conflicts of Interest DOL ERISA Fiduciary Duty Investment Adviser Proposed Amendments Retirement Plan

A Buttonwood Tree Sprouts in Europe: What the EU’s Proposed Capital Markets Union Means for You

On Wednesday, February 18, the European Commission (“EC”) launched its ambitious “Green Paper” consultation for the creation and completion of a European Union (“EU”)-wide Capital Markets Union (“CMU”). The release of the...more

2/25/2015 - Capital Markets Capital Markets Union EU European Commission

Dodd-Frank Act Changes Are Coming

For over four years after enactment of the Dodd-Frank Act (“Dodd-Frank”), President Obama and the Democratic Senate successfully blocked any changes to that act. For example, in the 113th Congress, the House passed 26 bills...more

1/26/2015 - Dodd-Frank Form 10-K JOBS Act Legislative Agendas Proposed Amendments Regulation S-K SBIC SEC TRIA Volcker Rule XBRL Filing Requirements

The 2014 Election: A Critical Juncture in Financial Services Legislation, Regulation, and Oversight

As November draws closer, the financial services industry is staking out a front row seat in tracking the outcomes of the 2014 midterm elections. The 114th Congress’ legislative agenda in this area will be shaped in large...more

11/3/2014 - Banks Dodd-Frank Federal Reserve Financial Institutions GSE Housing Finance Reform Legislative Agendas Legislative Committees Lenders Senate Banking Committee

SEC Proposes Major Revisions to Money Market Fund Rules

On June 5, 2013, the Securities and Exchange Commission (“SEC”) voted to release its long-awaited proposals to make significant revisions to the rules governing money market mutual funds (“money funds”), as well as to adopt...more

6/17/2013 - Disclosure Requirements FSOC GAAP Liquidity Fees Money Market Funds Mutual Funds NAV Right of Redemption SEC Stress Tests

Tax Reform – The Next Installment: Reforming the Taxation of Financial Instruments

After the fiscal cliff deal failed to include a framework for comprehensive tax reform, many in Washington predicted that the momentum for tax reform would wither away. Although Congress has many important issues on its...more

1/31/2013 - American Taxpayer Relief Act Bonds Derivatives Discussion Draft FIFO Financial Instruments Fiscal Cliff Harvesting Losses Hedge Funds Tax Reform Ways and Means Committee

Financial Transaction Tax: European Implementation and American Imitation?

Momentum is building to reform the U.S. tax system and address the nation’s fiscal challenges. However, options to raise revenue to reduce the deficit and offset a potential decrease in corporate and individual tax rates are...more

1/28/2013 - Financial Transaction Tax

Post-Election Changes and Their Impact on the Financial Services Industry: The Seven Deadly Sins

During his first term, President Obama began an ambitious path of reforming the U.S. financial system with the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). Over two years...more

12/4/2012 - Barack Obama CFTC Dodd-Frank FATCA Financial Transaction Tax Money Market Funds Volcker Rule

FSOC Publishes Money Market Mutual Fund Reform Recommendations

On November 13, 2012, the Financial Stability Oversight Council (the “FSOC”) unanimously approved the publication of several proposed recommendations for money market mutual fund (“MMMF”) reform (the “Proposed...more

11/27/2012 - Dodd-Frank FSOC Money Market Funds SEC

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