FSOC

Structured Thoughts -- Volume 4, Issue 8 -- May 15, 2013

by Bradley Berman, Lloyd S. Harmetz, Charles M. Horn | Morrison Foerster - Structured Products on 5/16/2013

In This Issue: Due Diligence Procedures for Structured Note Distributors; Key Issues for Yankee CDs; The SEC and FINRA: Protect Your Elders; The FSOC’s 2013 Annual Report: Increasing Exchange-Traded Product Activity;...more

Financial Services Legislative and Regulatory Update -- May 13‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/13/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - What had been a relatively quiet week, where until Friday it seemed...more

FSOC Annual Report

by Orrick - Structured Finance Group on 5/8/2013

On April 30, the FSOC released its 2013 annual report required pursuant to the Dodd-Frank Act. The report focuses on seven key themes...more

Orrick's Financial Industry Week in Review - May 6, 2013

by Orrick, Herrington & Sutcliffe LLP on 5/6/2013

On April 30, the FHFA issued its progress report on the steps being taken to establish a common securitization infrastructure for MBS. The FHFA is encouraging interested parties to provide written input on the progress...more

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

Financial Stability Oversight Council Releases 2013 Annual Report

by BuckleySandler LLP on 5/1/2013

On April 25, the Financial Stability Oversight Council (FSOC) met in an open session to announce the release of its 2013 Annual Report to the Congress. ...more

Federal Reserve Proposes Assessments for BHCs with $50 Billion or Greater in Assets

by Jeffrey M. Werthan | Katten Muchin Rosenman LLP on 4/25/2013

On April 18 the Federal Reserve Board (Board) proposed an annual assessment of bank holding companies and savings and loan holding companies with $50 billion or greater in total consolidated assets and for nonbank financial...more

Financial Services Legislative and Regulatory Update -- April 22, 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 4/22/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - It was another incredibly busy week, but obviously our thoughts and...more

Fed Proposal on Annual Assessments

by Orrick - Structured Finance Group on 4/17/2013

On April 15, the Fed requested comment on a proposed rule to establish an annual assessment for bank holding companies and savings and loan companies with $50 billion or greater in total consolidated assets, as well as for...more

2013 Mutual Funds and Investment Management Conference

by Ropes & Gray LLP on 4/10/2013

In this presentation: - General Counsel’s Address - Keynote Address - General Session — It’s a Small World After All: How Non-U.S. Regulators Affect Your Business - General Session — Closer to...more

Fed Final Rule on Financial Supervision

by Orrick - Structured Finance Group on 4/9/2013

On April 3, the Fed approved a final rule establishing the requirements to determine when a nonbank financial company is ‘predominantly engaged in financial activities‘ in order for the Financial Stability Oversight Council...more

Orrick's Financial Industry Week in Review - April 8, 2013

by Orrick, Herrington & Sutcliffe LLP on 4/8/2013

UK Financial Services Regulatory Handover - On April 1, the long-awaited handover of power from the FSA to the "twin-peaks system," consisting of the Prudential Regulation Authority (PRA) and Financial Conduct Authority...more

Fed Approves Rule Defining When A Company Is “Predominantly Engaged In Financial Activities”

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 4/8/2013

The Federal Reserve Board has approved a final rule that establishes the requirements for determining when a company is “predominantly engaged in financial activities.” The requirements will be used by the Financial Stability...more

Federal Reserve Adopts Final Rule For Nonbank Firms

by Elan Mendel | Shipkevich PLLC on 4/5/2013

The U.S. Federal Reserve has approved a final rule that will clarify the process that the new U.S. risk council will follow when designating nonbank financial firms. The new rule sets requirements for determining when a...more

The AIFM Directive Regulatory Reporting Template, and its Comparison to SEC Form PF

by Dechert LLP on 3/22/2013

The Alternative Investment Fund Managers Directive (the “Directive”) will introduce new regulatory reporting requirements for alternative investment fund managers (“AIFMs”) covered by the Directive. These will include all...more

The Debate Continues – U.S. Money Market Fund Update

by Stephen Cohen, Jack Murphy, Aline Smith, Justin Tait | Dechert LLP on 3/5/2013

Since the U.S. Financial Stability Oversight Council (“FSOC”) issued proposed recommendations to the U.S. Securities and Exchange Commission (“SEC”) regarding additional reforms to money market fund (“money fund”) regulation...more

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

by Regina LaMonica, Jose Lopez, Keith Miller, Charles Mulaney, Pravin Rao | Perkins Coie on 2/25/2013

The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more

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Structured Thoughts -- Volume 4, Issue 8 -- May 15, 2013

Financial Services Legislative and Regulatory Update -- May 13‚ 2013

FSOC Annual Report

Orrick's Financial Industry Week in Review - May 6, 2013

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

Financial Stability Oversight Council Releases 2013 Annual Report

Federal Reserve Proposes Assessments for BHCs with $50 Billion or Greater in Assets

Financial Services Legislative and Regulatory Update -- April 22, 2013

Fed Proposal on Annual Assessments

2013 Mutual Funds and Investment Management Conference

Fed Final Rule on Financial Supervision

Orrick's Financial Industry Week in Review - April 8, 2013

Fed Approves Rule Defining When A Company Is “Predominantly Engaged In Financial Activities”

Federal Reserve Adopts Final Rule For Nonbank Firms

The AIFM Directive Regulatory Reporting Template, and its Comparison to SEC Form PF

The Debate Continues – U.S. Money Market Fund Update

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

Additional State AGs Join Challenge To Dodd-Frank Act Provisions

Financial Services Legislative And Regulatory Update -- February 18‚ 2013

Financial Services Legislative And Regulatory Update -- January 21, 2013

The Imminent Wave of Federal Regulations

Investment Management Legal + Regulatory Update -- December 2012

Financial Services Legislative And Regulatory Update -- December 17, 2012

Capital Thinking Update - December 10, 2012

U.S. Financial Stability Oversight Council Proposes Recommendations for Money Market Fund Reform

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