Tag Archives: Dodd-Frank

5 Financial News Stories You May Have Missed: The Other Shoe

5 Financial News Stories

This week: FDIC takes action, legal insider trading, Germany and the Volcker Rule, Norges Bank Investment Management, and waiting for other mortgage shoe to drop, Continue reading →

5 Financial News Stories You May Have Missed: Taking Credit

5 Financial News Stories

This week: S&P, MaryJo White, Dodd-Frank, and The Revenge of the College Graduates Continue reading →

Banks Daring to Defy Dodd-Frank Mandates (You Can’t Make Me!)

Defying Dodd-Frank

One of the perhaps laudable goals of the U.S. Wall Street Reform and Consumer Protection Act (aka Dodd-Frank), generally supported by global regulators, has been to create a more robust regulatory framework for largely unregulated transactions, including swaps and derivatives, … Continue reading →

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 →