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21 February 2012
Despite the hope of two former SEC regulators, a rule finalised by the CFTC on February 9 serves as yet another example of US bifurcated regulation
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07 February 2012
An NYSE memo to further restrict the type of corporate governance matters allowing for broker votes of unspecified shares could effectively handcuff corporate boards with supermajority voting policies
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07 February 2012
Toronto has been touted as the top choice for foreign banks looking to escape aspects of the Volcker Rule. But is it really feasible?
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07 February 2012
More foreign regulators are expected to contact US authorities with complaints about the proposed Volcker Rule's restrictions on sovereign debt trading
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07 February 2012
Listen to the free recording of the web seminar where Morrison & Foerster and the NYU Stern Business school discussed the differences in recovery and resolution plans between Europe and the US
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02 February 2012
Why a New York Court of Appeals decision to allow investor litigation against financial advisers may mean higher advisory fees for institutional investors
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01 February 2012
US regulators have promised a risk retention release in Q2, but industry insiders expect a re-proposal not a final rule
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31 January 2012
The US’s often-criticised approach to credit rating agency reform has been held up as an example for European regulators at the American Securitisation Forum in Las Vegas
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31 January 2012
The FDIC depositor protection concerns over covered bonds have been picked up by regulators in other parts of the world, according to panelists at ASF2012
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31 January 2012
John Walsh, acting head of the Office of the Comptroller of the Currency (OCC) has warned against overreaction and misperception surrounding the risks of derivatives
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31 January 2012
Bank counsel fear that the SEC reconsideration of registration exemptions for asset-backed security issuers could further worsen securitisation’s plight under the Volcker rule
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26 January 2012
Financial institutions could face market overreactions over publicly disclosed summaries of financial data following the release of proposed stress testing rules mandated by Section 165 of Dodd-Frank
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13 January 2012
Foreign direct investment into Brazil will increase if a bill that make companies liable for corrupt business practices is passed, Sao Paulo Federal Appeals Court Judge Fausto De Sanctis has told IFLR
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12 January 2012
It’s only a matter of time before financial incentives to report US securities and commodities law violations start impacting the UK market, lawyers have warned
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11 January 2012
Canadian Parliament was allotted two options in pursuit of a national securities regulator following a Supreme Court ruling that the Securities Act overreached provincial jurisdiction over the regulation of property and civil rights
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11 January 2012
Proposed liquidity rules for US financial institutions could exceed international standards following the Basel oversight committee’s promise to ease requirements in times of stress
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23 December 2011
Brazil, Argentina and Ecuador are the latest to shake-up the region’s diverse and often unusual antitrust rules
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21 November 2011
Controls on futures and OTC customer funds will be stricter following allegations of MF Global’s use of customer funds in the days before its collapse
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17 November 2011
The new investment bank model could be a scaled-down and fragmented version of today, says Moore Capital Management’s Matthew Carpenter
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11 November 2011
The percentage of whistleblower filings resulting in investigations has been much higher than expected, according to SEC commissioner Elisse Walter.
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08 November 2011
Here we list the the best quotes from a meeting featuring SEC chairman Mary Schapiro, CFTC chairman Gary Gensler and Citigroup CEO Vikram Pandit
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21 October 2011
Senior senator advisor Mark Wetjen was appointed as the new commissioner of the Commodities Futures Trading Commission (CFTC) on Friday morning
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18 October 2011
Most hedge funds will not be deemed systemically important financial institutions if an Financial Stability Oversight Counsel’s proposal is enacted
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18 October 2011
Investment advisers have welcomed the SEC no-action letter on pay-to-play requirements
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18 October 2011
The 298-page Volcker rule proposals released last week by four regulators poses 383 questions - more than most senior practitioners have ever seen in one rule
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13 October 2011
Investors can purchase shares in private companies not subject to US SEC registration and disclosure requirements, if legislation drafted by US Representative Patrick McHenry is passed
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06 October 2011
It looks like financial institutions will have plenty of opportunity to influence the final form of the Volcker Rule. Here are the key questions and inconsistencies
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04 October 2011
Bankers' counsel don't expect a granular proposal, and even Finra admits it will be difficult to identify prohibited trades under the rule
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28 September 2011
Canadian traders are likely to see a decrease in compliance costs if a national securities regulator is approved by the Supreme Court of Canada
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20 September 2011
The CFTC will target third party managers with municipal securities in their portfolios, according to the its Director of Enforcement, David Meister
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20 September 2011
The SEC has vacated its universal proxy access rule, but companies still can't block shareholder board nominee proposals
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20 September 2011
The US living wills framework fell short of foreign banks’ principal demands, but some key requests have been accommodated
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15 September 2011
Bank of America’s inclusion of tracking stocks in its contingency plan requested by the Fed is the first mention of the security in a long time. But it's not returning
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25 August 2011
Dodd-Frank-mandated rule will exempt ABS issuers from burdensome periodical reporting requirements. But not as many as expected
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25 August 2011
Federal preemption rules codified by Dodd-Frank may force US banks to restructure