Guy C. Dempsey, Jr.

Guy C. Dempsey, Jr.

Katten Muchin Rosenman LLP

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Federal Reserve Approves Final Rule Regulating Bank Holding Companies and Foreign Banking Organizations

On February 18, the Federal Reserve Board (Federal Reserve) approved a Final Rule to enhance supervision over the largest US bank holding companies (BHCs) and the largest foreign banking organizations (FBOs) with operations...more

2/26/2014 - Bank Holding Company Banks Dodd-Frank Federal Reserve Foreign Banks

Corporate and Financial Weekly Digest - Volume IX, Issue 6

In this issue: - SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - SEC Issues No-action Relief Regarding Registration of M&A Brokers - CFTC Issues Guidance on New...more

2/11/2014 - Alternative Investment Funds Bank Fraud Banks Brokers CFTC Due Diligence Exemptions Filing Requirements Fraud Investment Adviser Investment Funds No-Action Relief Private Placements Registration Rule 506 Offerings SEC Swap Dealers Swaps

Five Agencies Issue Final Volcker Implementation Rules; Small Banks Win Exemptions

On December 10, five financial regulatory agencies (the Board of Governors of the Federal Reserve System, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, Securities and Exchange Commission...more

12/17/2013 - Banks CEOs Compliance Proprietary Trading Volcker Rule

Global Regulators Adopt Final Margin Requirements for Uncleared Derivatives

On September 2, the Basel Committee on Banking Supervision of the Bank for International Settlements (BIS) and the Board of the International Organization of Securities Commissions (IOSCO) jointly published a document...more

9/17/2013 - Banks Basel Committee BIS Derivatives Financial Regulatory Reform Foreign Banks IOSCO Margin Requirements

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