Securities Law, Consumer Protection, International Law & Trade

Financial Services Legislative and Regulatory Update -- April 29‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/1/2013

In This Issue: Leading the Past Week; Legislative Branch; and Executive Branch. Excerpt from Leading the Past Week - The past week could be best described by one word. Chaos. In the House, a scheduled...more

Orrick's Financial Industry Week in Review - April 29, 2013

by Orrick, Herrington & Sutcliffe LLP on 4/29/2013

In This Issue: Financial Industry Developments: CFPB Proposed Clarifications on Qualified Mortgage Rules; SEC Credit Ratings Roundtable; FDIC Proposed Guidance on Deposit Advance Products; Rating Agency Developments; RMBS...more

Orrick's Financial Industry Week in Review - March 25, 2013

by Orrick, Herrington & Sutcliffe LLP on 3/25/2013

In This Issue: *Financial Industry Developments - Agencies Issue Updated Leveraged Lending Guidance - CFTC No-Action Relief from Required Clearing for Some Partial Swap Novations and Terminations - FHFA...more

FSA Fines UBS £9.45 Million for Failings in AIG Fund Sales

by Orrick - Structured Finance Group on 2/21/2013

On February 12, the FSA published a final notice issued to UBS AG, setting out a fine of £9.45 million in respect of failings identified in its sale of the AIG Enhanced Variable Rate Fund (the Fund). Having reviewed sales of...more

Federal Reserve Board Releases Proposed Rules to Strengthen the Oversight of U.S. Operations of Foreign Banks

by King & Spalding on 2/15/2013

The Federal Reserve Board last month proposed new rules intended to strengthen the oversight of U.S. operations of foreign banks. The proposal implements provisions of the Dodd-Frank Wall Street Reform and Consumer Protection...more

Orrick's Financial Industry Week in Review - January 28, 2013

by Orrick, Herrington & Sutcliffe LLP on 1/30/2013

In This Issue: *Financial Industry Developments - CFPB Rule on Originator Compensation - Treasury and IRS FATCA Regulations - Rating Agency Developments *Recent Orrick Alerts - Derivatives Reform in...more

CrunchedCredit.com's 3rd Annual Golden Turkey Awards

by Rick Jones | Dechert LLP on 11/26/2012

Our plates filled with year-end deals, Thanksgiving Week is upon us, and with it CrunchedCredit.com’s annual recognition of the stories, events and ideas that struck us as funny, outrageous or both amidst the tsunami of stuff...more

New Rules for Remittance Transfer Providers

by Bilzin Sumberg Baena Price & Axelrod LLP on 10/8/2012

Money transfers sent abroad from inside the U.S., known as remittances, total in the tens of billions of dollars each year, according to the Consumer Financial Protection Bureau ("CFPB"). Beginning in January 2013, the CFPB,...more

SEC Issues Final Rule on Extractive Industry Transparency

by Foley Hoag LLP - Corporate Social... on 8/30/2012

On August 22, the Securities and Exchange Commission ("SEC") voted two to one in favor of a final rule implementing Section 1504 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Commissioners Schapiro and...more

Regulatory Watch List for 2012: The Shifting Landscape for Hedge Funds and Other Private Funds

by Sutherland Asbill & Brennan LLP on 2/8/2012

The Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), which was adopted in July 2010 with the goals of reducing risk, increasing transparency and promoting market integrity within the...more

Orrick's Financial Industry Week in Review - November 21, 2011

by Orrick, Herrington & Sutcliffe LLP on 11/21/2011

In This Issue: -Financial Industry Developments · SEC Extends NRSRO Extraterritorial Exemption from Rule 17g-5 · UCC Permanent Editorial Board Report on Mortgage Notes · Multi-Agency Statement on...more

FSA Secures Winding-Up Orders Against Unauthorized Operators of Collective Investment Schemes

by Katten Muchin Rosenman LLP on 12/15/2010

On December 9, the UK Financial Services Authority (FSA) announced that it had obtained winding-up orders in the High Court against two UK entities: Bio Partners Ltd and Zambia Alpha One LLP. Each was a firm that was not...more

European Commission Publishes MiFID Review Consultation

by Katten Muchin Rosenman LLP on 12/14/2010

On December 8, the European Commission published a public consultation on the review of the Markets in Financial Instruments Directive (2004/39/EC) (MiFID). MiFID aims to create a single market in investment services and...more

Secretary of the Treasury Seeks Input on Whether Foreign Exchange Swaps and Foreign Exchange Forwards Should Be Regulated as Swaps...

by Sutherland Asbill & Brennan LLP on 10/29/2010

Section 1a(47)(E) of the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), empowers the Secretary of the Treasury (Treasury Secretary) to categorically...more

EU Financial Reforms – Impact on Commodities Markets

by McDermott Will & Emery on 10/29/2010

Introduction The year 2010 will be remembered as one in which dramatic reform was imposed on the global over-the-counter (OTC) derivatives markets. Landmark legislation has been enacted in the United States in the form of...more

Draft EU Regulation on OTC Derivatives, Central Counterparties and Trade Repositories

by Morrison & Foerster LLP on 9/21/2010

On 15 September 2010, the European Commission (“EU Commission”) tabled its legislative proposal (the “Proposal”) for a Regulation on OTC derivatives, central counterparties and trade repositories (the “Regulation”).1 The...more

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