Edward Eisert

Edward Eisert

Orrick, Herrington & Sutcliffe LLP

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SEC Office of Compliance Inspections and Examinations Issues Risk Alert on Whistleblower Rule Compliance

On October 24, Staff in the Office of Compliance Inspections and Examinations (the “Staff”) issued a National Exam Program Risk Alert announcing that it is examining registered investment advisers and registered...more

11/1/2016 - Broker-Dealer Confidentiality Agreements Dodd-Frank Enforcement Actions Investment Adviser Rule 21F SEC Whistleblowers

Federal Reserve Announces Extension of Conformance Period Under Section 13 of the Bank Holding Company Act

On July 7, 2016, the Federal Reserve announced that it will extend until July 21, 2017 the conformance period for banking entities to divest ownership in certain legacy investment funds and terminate relationships with funds...more

7/14/2016 - Bank Holding Company Act Dodd-Frank FDIC Federal Reserve Private Equity Funds Volcker Rule

SEC Issues Order Increasing the Net Worth Test Under Rule 205-3 Under the Investment Advisers Act of 1940 to $2.1 Million

Section 205(a)(1) of the Investment Advisers Act of 1940 (the “Advisers Act”) generally prohibits an investment adviser from entering into, extending, renewing, or performing any investment advisory contract that provides for...more

6/21/2016 - Advisory Contracts Dodd-Frank Investment Adviser Investment Advisers Act of 1940 SEC

Derivatives in Review - April 2016

Novo Banco and CDS – A Post-Mortem - The 2014 ISDA Credit Derivatives Definitions updated the previous set of credit derivatives definitions to, among other things, include a credit event for “Governmental Intervention.”...more

4/22/2016 - CFTC Commodities Exchange Act Derivatives Dodd-Frank Electricity End-Users Financial Markets ISDA Margin Requirements Natural Gas Recordkeeping Requirements Reporting Requirements Swap Dealers Swaps Trading Platforms

Federal District Court Rules against Designation of MetLife as a “SIFI” under Dodd-Frank Act

On March 30, the D.C. federal District Court ruled against the designation by the Financial Stability Oversight Counsel (“FSOC”) of MetLife as a “systemically important financial institution” under the Dodd-Frank Act. The...more

4/5/2016 - Dodd-Frank Financial Institutions FSOC MetLife Nonbank Firms SIFIs

Derivatives in Review - December 2015

Prudential Regulators Approve Final Uncleared Margin Rules - In October, the prudential regulators approved a final version of the September 2014 re-proposed rule generally imposing initial and variation margin...more

12/21/2015 - Algorithmic Trading Banking Sector CFTC De Minimus Quantity Exemption Dodd-Frank Margin Requirements Non-Cleared Swaps

FinCEN Proposes New Rule Requiring Anti-Money Laundering Programs for Registered Investment Advisers

On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN) issued a Notice of Proposed Rulemaking (NPRM) that would define investment advisers registered (or required to be registered) with the Securities and...more

9/1/2015 - Anti-Money Laundering Bank Secrecy Act Currency Transaction Reports (CTR) Dodd-Frank FinCEN Information Sharing Investment Adviser NPRM Patriot Act Recordkeeping Requirements SEC Securities Exchange Act Suspicious Activity Reports (SARs) U.S. Treasury

Federal Reserve Acts to Extend Conformance Period Under Volcker Rule for Legacy Covered Funds Until July 2017

On December 18, the Federal Reserve Board announced that it has acted under Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly known as the Volcker Rule, to give banking entities until July...more

12/23/2014 - Banking Sector Banks Dodd-Frank Federal Reserve Foreign Investment Fund Hedge Funds Private Equity Volcker Rule

The New CFTC Regulatory Regime For Private Fund Managers; First Quarter 2013 Update

The enactment of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) and its implementation by the Commodity Futures Trading Commission (“CFTC”) has ushered in a new era of...more

4/19/2013 - CFTC Commodities Exchange Act Dodd-Frank Exempt Organizations Major Swap Participants Private Funds Reporting Requirements Swap Clearing Swaps

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