News & Analysis as of

Liquidity

Corporate and Financial Weekly Digest, Featuring Topics on Broker-Dealer, Derivatives, CFTC and UK/Brexit/EU Developments

BROKER-DEALER - FINRA Requests Comment on Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule On January 8, the Financial Industry Regulatory Authority (FINRA) requested comment on proposed...more

Financial Services Weekly News - January 2018 #2

by Goodwin on

Editor's Note - In This Issue. The Consumer Financial Protection Bureau (CFPB) announced that it would take another pass at the “Payday, Vehicle Title, and Certain High-Cost Installment Loans” (Payday Rule); the Financial...more

SEC's Fixed Income Market Structure Advisory Committee Discusses Bond Market Liquidity in Its Inaugural Meeting

by WilmerHale on

On January 11, 2018, the Securities and Exchange Commission's (SEC) Fixed Income Market Structure Advisory Committee (FIMSAC) held its inaugural meeting. The SEC formed the FIMSAC to provide advice to the SEC on the...more

Financial Services Quarterly Report - Fourth Quarter 2017: Trump Administration Unveils its Position on Financial Regulation...

by Dechert LLP on

During the Trump Administration’s first year in office, it has implemented major new policy approaches and engaged in significant reversals of Obama Administration policies in many areas. In contrast, the Administration to...more

Financial Services Quarterly Report - Fourth Quarter 2017: Hong Kong’s New Asset Management Regulations

by Dechert LLP on

The Hong Kong Securities and Futures Commission (SFC) on 16 November 2017 published its Conclusions on its one-year consultation in relation to enhancement of asset management regulation and point-of-sale transparency...more

Increased Flex Amid Record Liquidity in European Leveraged Loans Requires Careful Navigation by PE Firms

by Latham & Watkins LLP on

The European leveraged loan market is going from strength to strength, with a continuing surplus of available credit compared to deal requirements, resulting in very borrower-favourable terms. However, we are seeing signs of...more

Investment Services Regulatory Update - November 2017

by Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European...more

Strategic Alternatives for Real Estate Portfolios Part III – Initial Public Offering (IPO) Transactions

by King & Spalding on

The review of strategic alternatives can be a daunting task even for the most seasoned executives and directors of real estate companies and real estate investment trusts. This is particularly true in today’s real estate...more

Treasury Withdraws Problematic Section 2704 Discount Regulation

As previously discussed, the IRS and Treasury identified in July eight Obama era tax regulations that are burdensome on taxpayers. In early October, Treasury announced that it proposed to repeal or revise these regulations. ...more

Treasury Recommends Changes to Post-Financial Crisis Securitization Rules

by Morgan Lewis on

Possible changes would include loosening qualified asset requirements under risk retention rules, limiting asset-level disclosure under Reg. AB II, and rationalizing capital and liquidity requirements for securitized assets....more

Welcome to Stockholm! We Are Learning To Love Our Regulatory State

by Dechert LLP on

As an industry, we remain in high dudgeon over the inanity of much of Dodd-Frank, the ideological and often unhinged regulatory instincts of our various governments and the vast amount of effort, time and money it takes to...more

The final call for Aviator UK

by DLA Piper on

The aviation industry is a network business, relying upon strict regulation, rigorous safety standards and operations planned to minute detail. Unexpected financial or operating changes, particularly to ‘ground handling’...more

Africa Focus: Sub-Saharan African power projects - Credit support and enhancement

by White & Case LLP on

Counterparty credit risk continues to remain a key, often threshold concern for private sector sponsors and lenders to the majority of power projects in sub-Saharan Africa. Structuring power projects in an effort to overcome...more

In Conversation with…GBite Oduneye, founder of Nigerian Capital Markets Forum

by Hogan Lovells on

(a) You have been working in the Nigerian Capital Markets space for about 11 years now - what would you say has kept you attracted to the Market? My mother introduced me to Capital Markets at a very young age. She strongly...more

Regulators Tackle Board Effectiveness and Overdrafts

by Bryan Cave on

Host Jonathan Hightower is joined by Ken Achenbach to discuss this week's proposed guidance from the Federal Reserve on the effectiveness of bank boards. In addition, at the outset of the episode Jonathan and Ken reviewed...more

Investment Services Regulatory Update - August 2017

by Vedder Price on

On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert providing a summary of the staff’s observations from sweep exams of broker-dealers, investment advisers and funds...more

Private Company Liquidity Programs

Nasdaq Private Market reports increased activity in private company liquidity programs. Companies that are choosing to stay private longer are using structured and controlled liquidity as a recruitment and retention tool,...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Four criminal securities cases moved to or toward resolution over the past week. The jury in the Martin Shkreli trial returned a verdict of guilty on three counts and not guilty on five others at the end of last week....more

Debt Dialogue: June 2017 - Refusing to Fund Into a Bankruptcy: Lessons From Lyondell for Lenders

In the May 2017 issue of Debt Dialogue, we discussed the recent decision by Judge Martin Glenn of the U.S. Bankruptcy Court for the Southern District of New York with respect to the actual and constructive fraudulent...more

The Department of the Treasury Issues Recommendations on the Regulation of U.S. Depository Institutions

by Jones Day on

"A Financial System that Creates Economic Opportunities: Banks and Credit Unions," a Report by the Department of the Treasury, identifies potential reforms that would promote the "Core Principles for Regulating the United...more

Asset management: Coming out of the shadows - Financial Stability Board addresses structural vulnerabilities from asset...

by White & Case LLP on

On 12 January 2017, the Financial Stability Board (FSB) published its Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities....more

Follow-Up on Open-Ended Funds and Illiquidity

by Reed Smith on

On 4 July 2016, Standard Life Investments suspended trading as a result of investors flooding the gates for redemptions. Several other funds, such as M&G and Aviva Investments, followed suit throughout the same week. By...more

Fund Liquidity Risk Management Task Force

by Dechert LLP on

Implementing the U.S. Securities and Exchange Commission’s (SEC) fund liquidity risk management rules presents distinct challenges for open-end mutual funds and exchange-traded funds (ETFs), and compliance with the rules will...more

MiFID II / MiFIR Update – May 2017

by White & Case LLP on

Reporting Obligation (Article 26 of MiFIR / RTS 22) - 28 July 2016 – European Commission adopted Delegated Regulation supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with...more

Don’t Fear the Reaper: Hiring Bankruptcy Counsel Won’t Be Held Against You

by Robins Kaplan LLP on

Both bankruptcy practitioners and potential clients thereof can take comfort in a recent decision issued by the United States Court of Appeals for the Fifth Circuit. Last week, the Fifth Circuit concluded that hiring...more

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