-
27 April 2012
US banks and companies transacting less than $8 billion in swaps will not have to register with the SEC or CFTC as swap dealers according to new rules. But concern remains swap dealers will drop out of the market
-
27 April 2012
Bankers' counsel have warned against overlooking the subtly-worded conformance period compliance requirements
-
17 April 2012
Dueling comment letters from the US investment industry’s foremost trade associations have brought principal trades to the forefront of the long running debate on broker-dealer fiduciary obligations
-
13 April 2012
US attorneys have called on the Financial Stability Oversight Council to exempt asset management companies from being designated as Sifis
-
12 April 2012
Crowdfunding intermediaries will face many of the investor protection burdens included in the Jobs Act. Companies are expected to use them as funding portals or broker-dealers, nonetheless
-
03 April 2012
The imminent Jobs Act will make life easier for issuers but may expose banks to litigation risks, lawyers have warned
-
03 April 2012
Banco de Costa Rica has become the country's first bank to use Tier 2 capital, but lawyers want more guidance from regulators on how it can be used