EU, Dodd-Frank, UK

In Practice: Conflicting signals? Potential impacts of the SEC’s proposed conflicts of interest rule on UK and EU CLO managers

Latham & Watkins LLP on 6/26/2023

On 25 January 2023, the US Securities and Exchange Commission (SEC) proposed a far-reaching rule (Rule 192) to prohibit securitisation transactions involving or resulting in a material conflict of interest between certain...more

A Multinational Maze: Navigating Human Rights Regimes Across Multiple Jurisdictions

Vinson & Elkins LLP on 12/4/2020

Human rights are increasingly the subject of a range of requirements under both “hard” law — such as the mandatory obligations promulgated by governments regarding conflict mineral restrictions, forced labor prohibitions, and...more

Documentation changes may be required for commercial end users, funds, and other financial end users

Hogan Lovells on 2/6/2020

The new year is here and with it two important developments in the derivatives markets for nonswap dealer clients to consider. The first development is the market response to the looming discontinuation of U.S. dollar LIBOR...more

Skadden's 2020 Insights

Skadden, Arps, Slate, Meagher & Flom LLP on 1/30/2020

Despite political and economic uncertainties, markets and deal activity were resilient in 2019, and strong fundamentals remain in place heading into 2020. Companies continue to face a challenging litigation and enforcement...more

Cross-Border Investigations Update - September 2019

Skadden, Arps, Slate, Meagher & Flom LLP on 10/3/2019

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases, regulatory activity and other key developments, including a review of the first year of GDPR enforcement, analysis of...more

Governance & Securities Law Focus: Asia Edition, June 2019

A&O Shearman on 6/24/2019

U.S. DEVELOPMENTS - SEC and NYSE/Nasdaq Developments - SEC Proposes to Expand “Testing the Waters” Exemption to Permit Pre-Offering Communications - On 19 February 2019, the Securities and Exchange Commission...more

Covered Agreement - An overview

Eversheds Sutherland (US) LLP on 5/21/2019

On January 13, 2017, the then-US Secretary of the Treasury and the then-US Trade Representative (USTR) notified Congress that they had negotiated a covered agreement with the European Union (EU). After a period of uncertainty...more

Financial Regulatory Developments Focus - May 2018 #4

A&O Shearman on 6/4/2018

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Financial Regulatory Developments Focus - February 2018 #2

A&O Shearman on 2/15/2018

In this week's newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

CFTC Updates on Virtual Currency Regulation, Alternatives to Libor and Fallout From Brexit

Skadden, Arps, Slate, Meagher & Flom LLP on 1/31/2018

In 2017, Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo made clear he will strive to improve, not abolish, many reforms the CFTC adopted to implement the Dodd-Frank Act’s mandate for new...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 12/6/2017

The Senate Banking Committee has voted out of committee a bipartisan effort to ease Dodd-Frank regulations. The bill in question could “drastically cut” the number of banks subject to heightened Fed oversight and “would ease...more

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on 10/6/2017

Agencies Propose Simplifying Regulatory Capital Rules - On September 27, 2017, the Federal Deposit Insurance Corporation, the Federal Reserve Board and the Office of the Comptroller of the Currency announced a proposed...more

Less Is More or More Is More? Differing Regulatory Ethos in the United States and United Kingdom Pose Challenges for Financial...

Eversheds Sutherland (US) LLP on 5/22/2017

The United States is poised to usher in an era of decreased regulation of financial institutions while the trend in the United Kingdom maintains relatively robust regulation of the financial services sector in line with...more

Past is Prologue: The Future of US and UK Arbitration

Eversheds Sutherland (US) LLP on 4/27/2017

Much has been said and written about the UK public’s decision in June 2016 to leave the European Union and the November 2016 election of President Donald Trump. It seems obvious that these momentous events will have profound...more

Financial Regulatory Developments Focus - February 2017

A&O Shearman on 2/13/2017

In this newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset managers and...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 2/6/2017

RBS has agreed to pay $85 million to the CFTC to resolve allegations that its traders “manipulated the ISDAfix benchmark rate over a period of five years to benefit the bank’s derivatives positions”....more

Financial Regulatory Developments Focus - December 2016

A&O Shearman on 12/21/2016

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

Orrick's Financial Industry Week in Review

Orrick, Herrington & Sutcliffe LLP on 9/16/2016

Financial Industry Developments - Agencies Publish Study on Banking Activities and Investments under Dodd-Frank - On September 8, 2016, the Board of Governors of the Federal Reserve System, Federal Deposit Insurance...more

BREXIT: A First Look at the Impact on Asset Managers That Trade Derivatives

K&L Gates LLP on 7/1/2016

Asset managers and investment funds that make significant use of derivatives will face regulatory and operational challenges in the post-Brexit vote environment. Although the Brexit vote is not expected to have an immediate...more

Your daily dose of financial news - The Brief – 6.28.16

Robins Kaplan LLP on 6/28/2016

Continuing Brexit coverage: With the pound in freefall and markets going haywire, leaders on both sides of the Brexit debate in the UK signaled today that Britain hopes to stay in the EU marketplace, while some in Parliament...more

Financial Regulatory Developments Focus - June 2016 #2

A&O Shearman on 6/23/2016

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

US Federal Deposit Insurance Corporation Chairman Gruenberg Discusses Resolution of Systemically Important Financial Institutions

A&O Shearman on 5/6/2016

FDIC Chairman Martin Gruenberg discussed improvements in cross-border cooperation with respect to the resolution of systemically important financial institutions. He highlighted ongoing conversations among leading financial...more

Corporate and Financial Weekly Digest - Volume XI, Issue 16

Katten Muchin Rosenman LLP on 4/25/2016

SEC/CORPORATE SEC Releases Registration Fee Estimator On April 18, the Securities and Exchange Commission announced the release of an online tool that will assist companies in calculating registration fees relating to...more

Financial Services Quarterly Report - Fourth Quarter 2015: And a Partridge in a Pear Tree: Top 12 Regulatory Heads-up for the...

Dechert LLP on 12/23/2015

1st Day of Christmas – UCITS V* - The UCITS V Directive (UCITS V) introduces specific provisions on: - (i) eligibility, liability and delegation of depositaries; - (ii) remuneration policies; and ...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 8/31/2015

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

European Union › Dodd-Frank Wall Street Reform and Consumer Protection Act › United Kingdom

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