Tag Archives: Dodd-Frank

What SEC Restructuring Means for Enforcement

Seal from SEC Building

In 2011, the SEC completed the most significant restructuring since its establishment roughly 40 years ago, and, if it must say so, had “A Record Performance” in enforcement. As these changes will continue in 2012 and potentially have a meaningful impact on global organizations, we thought it time to take a look at some of the key developments. Continue reading →

U.S. Whistleblower Protections: Global or Not?

Whistle on Penalty Cards

The critical question as to whether or not Sarbanes–Oxley (SOX) and Dodd-Frank’s whistleblower protection extend to employees of non-U.S. subsidiaries of U.S.-listed companies is currently subject to disagreement and debate. Over the past two weeks, one decision concluded that there … Continue reading →

The Three Biggest EU Challenges for General Counsel

Courtesy of Ann Longmore, I spotted a recent report of the 2012 European General Counsel forum held in London last month and hosted by Consero Group.  The three most pressing issues for European in-house lawyers identified by that forum were … Continue reading →

Banks Need More Capital. Not a Little Capital, Either.

How will globally systemic banks raise the $566 billion in new capital Fitch Ratings says they'll need to meet new rules and regulations in six years? Continue reading →

JOBS Act Analysis: Underwriter Analyst Coverage Now Allowed (3rd in a Series)

In part three of our JOBS Act analysis series, we discuss its amendments to the Securities and Exchange Acts, which allow companies' underwriters to issue research and recommendation on the qualifying companies they are underwriting. Continue reading →

JOBS Act Analysis: Reduced Disclosure Requirements for IPOs (2nd in a Series)

The JOBS Act (formally, the “Jumpstart Our Business Startups Act“) was designed to facilitate raising capital by reducing regulatory burdens. Specifically, the Act creates a separate class of issuers under the U.S. Securities Act of 1933 and the Exchange Act … Continue reading →

5 Financial Stories You Might Have Missed — And X-Rated Whistleblowing

This week's stories include insider trading, dubious whistleblowers, Dodd-Frank ‘Volcker Rule’, mobile payment products, and some very bad behavior. Continue reading →

JOBS Act Analysis: What the Law Means for Small Businesses, Financial Institutions, and Insurers (1st in a Series)

President Obama signs the Jumpstart Our Business Startups (JOBS) Act April 5, 2012 With the signing of the JOBS Act 2012 (Jumpstart Our Business Startups), the ability for smaller companies to raise money—and financial institutions to get in trouble—just got … Continue reading →

Dodd-Frank Act Annotated for Financial Institutions

We’ve gone through the Dodd-Frank Act with our clients in mind and prepared an annotated version as a reference or starting point for your study of the Act. Continue reading →

5 Financial News Stories You May Have Missed – And a Penalty Flag

1.The Dog Ate My Regulation. The Fed is Late Delivering the Volcker Rule. When the financial reform was being discussed shortly after the credit crisis, former Fed Chairman Paul Volcker suggested that federally insured banks should not be allowed to … Continue reading →