The third edition of A Practitioner’s Guide to the Regulation of Investment Banking, a guide to the regulation of investment banking activities in the UK, European and international con...
In the past month, no rulemaking requirement deadlines passed, five rulemaking requirements were proposed and one rule was finalized to meet a rulemaking requirement.
As of October 1, 20...
The Basel Committee on Banking Supervision (“BCBS”) and the International Organization of Securities Commissions (“IOSCO”) on September 2 released their final policy framework on ...
Since July 15, 2013, one rulemaking requirement deadline passed, two rulemaking requirements were finalized and no new rules were proposed to meet rulemaking requirements.
As of Septembe...
On July 12, 2013, the CFTC adopted long-anticipated final cross-border guidance that provides guidelines for the application of the CFTC’s swap regulatory regime to cross-border swap ac...
This special Progress Report marks the three-year anniversary of Dodd-Frank. To highlight the occasion, we have also developed a stats-driven infographic focused on the significant year-o...
In this Report:
In the past month, no rulemaking requirements were due, no new rules were proposed to meet rulemaking requirements and one rulemaking requirement was finalized.
As of ...
On June 5, 2013, the Securities and Exchange Commission (the “SEC”) proposed amendments to rules under the Investment Company Act of 1940 (the “Investment Company Act”) and relate...
The Federal Reserve has issued an interim final rule clarifying the treatment of uninsured U.S. branches and agencies of foreign banks under Section 716 of the Dodd-Frank Act (“Swaps Pu...
On May 16, 2013, the CFTC adopted final rules relating to the registration and operation of swap execution facilities, the Dodd Frank Act’s mandatory trade execution requirement and the...
