March 9
- Effective Date Effective date of CFTC final rule on real-time public reporting of public swap transaction data
March 13
- Effective Date Effective date of CFTC final rule on swap data recordkeeping and reporting requirements
March 19
- Effective Date Effective date of CFTC final rule on registration of swap dealers and major swap participants
March 26
- Comments Due Comments due on annual OCC stress test
March 31
- Comments Due Comments due on enhanced prudential standards and early remediation requirements for covered companies
April 1
- Effective Date 4/1/12 – Effective date of FDIC final rule on resolution plans for insured depository institutions over $50 billion
Webcasts
The Dodd-Frank Act with its numerous requirements and provisions will dramatically impact the financial services industry. Through an on-going series of webcasts we will explore how key regulation will affect corporate governance and compliance, investors and operations.
Our first series, presented by Westlaw Business in partnership with West LegalEdcenter will explore the affect of Dodd-Frank on Funds and Institutional Investors, Financing Public Companies and Corporate Governance and Proxy Changes. Click on one of the webcasts titles below to learn more.
Upcoming webcasts:
There are currently no upcoming webcasts. Please register for the Dodd-Frank Watch Bulletin and we'll keep you informed.
On-demand webcasts:
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Resolutions in the New Year: The Volcker Rule
January 26th, at 11am EST/4pm GMT -
Do you and your company have a New Year’s resolution to stay on top of the changes in the compliance industry? Stick to them and join us for a complimentary webinar, Resolutions in the New Year: The Volcker Rule, on Thursday, January 26th, at 11am EST/4pm GMT. Industry expert Suzanne Calcagno will explore the recent updates on the Volcker Rule and help you prepare to adjust to the changes. Topics to be discussed are:
The agenda for the session will be:- Volcker Rule Overview & Recent Developments
- Discussion of Permitted Activities & Investments
- Identifying & Demonstrating Compliance
- Market Impact of Uncertainty & Eventual Implementation
- The Impact of the 2012 Political Cycle
- The Path Forward
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Capital Markets Series: Registration of Investment Advisers Under Dodd-Frank
Wednesday, 11/9/11, 1pm ET.
You may use the following 25% discount code in promoting the event: 111LEC25. Application instructions are as follows:- Add the program to your shopping cart on West LegalEdcenter.
- Returning West LegalEdcenter customers should simply log on; if you are new to West LegalEdcenter, simply click New User and continue through the quick registration process.
- Once returned to the cart, enter 111LEC25 in the promotion code box and click 'Apply' to activate your 25% discount.
- Continue through checkout as usual.
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The agenda for the session will be:
The Dodd-Frank Act mandates that most investment advisers will need to be properly registered by March 30, 2012. This program will summarize the filing and recordkeeping requirements mandated under the full implementation of the law. Among the topics to be covered:
- Registration of Investment Advisers
- Filing Form ADV
- ADV Part 1A
- ADV Part 2, The Brochure
- Issues relating to Wrap Fee Programs
- Supplemental Requirements
IARD Filing
State registration and examinations, Mid-Size Adviser Issues and Update
- Review of Recordkeeping Requirements
- Custody Issues
- Disclosure Issues
Fiduciary Responsibilities - Audits
Click here to register - Registration of Investment Advisers
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Corporate Governance in the Wake of Dodd-Frank
Monday, 9/26/11, 12pm ET.
You may use the following 25% discount code in promoting the event: 0911LEC25. Application instructions are as follows:- Add the program to your shopping cart on West LegalEdcenter.
- Returning West LegalEdcenter customers should simply log on; if you are new to West LegalEdcenter, simply click New User and continue through the quick registration process.
- Once returned to the cart, enter 0911LEC25 in the promotion code box and click 'Apply' to activate your 25% discount.
- Continue through checkout as usual.
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The agenda for the session will be:
Key components of the Dodd-Frank Wall Street Reform and Consumer Protection Act dealing with corporate governance have raised numerous questions and concerns in board rooms across the country. Corporations must adapt to the heightened level of scrutiny and compliance promised by these new reforms and regulations, but many executives and their counsel remain unsure about deadlines, due dates, and disclosures.
This webcast features speakers experienced in intricate corporate compliance issues. They will examine what was promised by the Dodd-Frank law, where the law stands at this point in time, and what to expect in the near future. Among the topics to be discussed:
- Say on pay - what happened and what's going to happen going forward
- Impact on the 2012 proxy season
- Dodd-Frank rulemakings to come and rules pushed back to 2012 - Clawbacks, independence of compensation consultants, pay ratio
- Specialized disclosures - conflict minerals, extractive industries, mining disclosures
- Rating agencies, risk committees, and other unintended consequences of Dodd-Frank
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Dodd-Frank Legal Roundup
Tuesday, 10/11/11, 12pm ET
You may use the following 25% discount code in promoting the event: 1011LEC25. Application instructions are as follows:- Add the program to your shopping cart on West LegalEdcenter.
- Returning West LegalEdcenter customers should simply log on; if you are new to West LegalEdcenter, simply click New User and continue through the quick registration process.
- Once returned to the cart, enter 1011LEC25 in the promotion code box and click 'Apply' to activate your 25% discount.
- Continue through checkout as usual.
-
Description:
The Dodd-Frank Wall Street Reform and Consumer Protection Act is one of the most comprehensive pieces of legislation reforming federal financial institutions regulation in U.S. history. Dodd-Frank affects a wide range of providers of financial products and services, as well as business and consumer customers. It is has also generated its fair share of attention on the litigation front, as several legal challenges have been made against various portions of the far-sweeping law.
The recent decision by the D.C. Circuit vacating the SEC's controversial proxy access rule is just the beginning. Legal challenges have been mounted against the Consumer Financial Protection Bureau on various grounds, and the Financial Stability Oversight Council is also facing challenges to its rule making abilities.
Dechert Partners Thomas Vartanian and Robert Ledig, Davis Polk & Wardwell Partner John Douglas, and O'Melveny & Myers Partner Thomas Brown bring their many years of banking and finance experience to this analysis. They will examine the current legal challenges to Dodd-Frank, and offer a glimpse into what may come next as this massive financial reform package becomes law.
Click here to download the recorded webinar
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Capital Markets Series: Overview of Financial Services Regulation
Get a 50% discount on these CLE credited courses by entering WESTDF50 at checkout.
August 9, 2011 -
The agenda for the session will be:
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Regulation of Investment Advisers
- Registration requirements
- State update
- Examination issues
- Regulation of Pooled Investment Vehicles
- Public funds
- Private funds
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Regulation of Broker Dealers
- Scope of 1933 Securities Act and 1934 Securities Exchange Act
- Finders
- Capital adequacy
- Customer protection
- Private Placements
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Regulation of Investment Advisers
- Adapting to the SEC Say on Pay Rules
Get a 50% discount on these CLE credited courses by entering WESTDF50 at checkout.
July 25, 2011 - Rules recently imposed by the Securities and Exchange Commission regarding executive compensation will affect how companies handle their annual meetings. Public companies subject to proxy rules will have to provide shareholders with advisory votes on executive compensation, say-on-frequency, and “golden parachute” arrangements. This webcast, featuring attorneys from Akin Gump Strauss Hauer & Feld LLP experienced in corporate and market matters, will discuss what companies need to do to transition to these rules and how they can maintain compliance. Click here to download the recorded webinar
- Investment Adviser Registration: The SEC Makes New Rules
Get a 50% discount on these CLE credited courses by entering WESTDF50 at checkout.
July 28, 2011 - The Securities and Exchange Commission on June 22, 2011 adopted rules regarding the registration of investment advisers pursuant to provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act. These new rules will eliminate exemptions that many advisers to private funds and certain other clients relied on to avoid registration with the SEC. This webcast will examine the new rules and their impact on the investor community. Among the topics of discussion:
- The details of the qualification threshold
- Exemptions from registration
- The Family Office rule
Click here to download the recorded webinar
- The SEC Whistleblower Rules: A New Era in Fraud Investigation
June 6, 2011 - The Securities and Exchange Commission recently acted to approve a whistleblower rewards program that was originally called for in the Dodd-Frank Wall Street Reform and Consumer Protection Act. This program formalizes a system of financial incentives to corporate insiders who report alleged wrongdoing in their companies to the SEC. This effort to eliminate fraud in the corporate sector has been met with mixed reactions. Supporters maintain the whistleblower program will encourage fraud reporting that might otherwise go unnoticed due to fear of retaliation, while opponents believe the program will lead to greater government intrusion into corporate affairs that could be handled internally. Click here to download the recorded webinar
- New Risk Retention Requirements in Securities
May 5, 2011 - Topics covered will include:
- Applicability of the Rule to Mortgage Originators
- Qualified Residential Mortgages
- Other Exemptions and Methods to Transfer Risk
- Five Percent Risk Retention Requirement
- Methods to Retain Risk
- Dodd-Frank Rules on End Users in Derivatives Transactions
April 21, 2011 - Derivatives touch everything from fuel hedging by airlines to commodities hedging by food companies, along with much-maligned credit default swaps and other forms of financial derivatives. New derivatives-related rules contained in Dodd-Frank promise to affect them all. While much attention has centered on the big financial players that sit at the center of derivatives trading, many other companies are affected too, in their role of “End Users.” This webcast will consider Dodd-Frank’s implications, obligations and go-forward strategies for companies from airlines to pipelines.
Click here to download the recorded webinar
- Dodd-Frank and the New Hedge Fund Registration Rules
April 18, 2011 - Topics will include:
- What are the thresholds that trigger SEC or state registration for hedge funds as investment advisors?
- What exemptions from registration exist?
- How does a hedge fund register as an investment advisor?
- What are the deadlines for registration?
- What are the increased reporting and compliance obligations that fall on hedge funds that are required to register as investment advisors?
Click here to download the recorded webinar
- Dodd-Frank - Derivatives and Swaps: What you need to know now
March 10, 2011 - Discussion points:
- Decipher how, and to what extent, new regulation will affect derivatives trading
- Explore the potential costs associated with regulatory reform and the cost of non-compliance
- Learn strategies to tackle issues right now and strategically plan for the future
- Learn how to implement systems and processes that maximize operational efficiency and ensure compliance with Dodd-Frank mandates
- Steven Goldberg - Grant Thornton LLP
- Evan Koster - Dewey & LeBoeuf LLP
- Michael Sackheim - Sidley Austin LLP
- Thomas Sexton - National Futures Association
- Corporate Governance and Proxy Changes after Dodd Frank
December 15, 2010 - Discussion points:
- Corporate governance changes, including compensation committees and risk committees
- Executive compensation changes and new disclosures
- Whistleblowing
- Impact on both U.S. domestic and foreign companies
- Proxy access rules
- Rob R. Carlson - Partner, Paul, Hastings, Janofsky & Walker LLP
- Keir D. Gumbs - Partner, Covington & Burling LLP
- Ely Razin - Vice President and Editor-in-Chief, Westlaw Business
- Edward P. Smith - Partner, Chadbourne & Parke LLP.
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Financing Public Companies after Financial Services Re-regulation
December 1, 2010 - Discussion points:
- Banking Market changes: New governance and risk management requirements for banks
- Swap market changes - Dodd Frank, Europe's Barnier reforms, CDS changes due to Lehman rulings and other ISDA rulings on credit events, etc.
- Securitization changes due to Goldman, ABS rules changes, and credit ratings agency changes
- Other banking changes
- Robert J. Dilworth - Senior Vice President & Associate General Counsel, Bank of America Merrill Lynch Andrea S. Kramer - Partner, McDermott, Will & Emery
- Ely Razin - Vice President and Editor-in-Chief, Westlaw Business
- Joshua W. Thompson - Partner, Proskauer Rose LLP
- and Thomas P. Vartanian - Partner, Dechert LLP.
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Funds and Institutional Investors in the Wake of Dodd-Frank
November 18, 2010 - Discussion points:
- Accredited investor reform
- Hedge fund registration
- Derivatives market regulation
- Portfolio changes in light of Dodd-Frank (from new bond rating practices to changed Board standards for portfolio companies)
- Increased investment disclosure requirements
- Acquisition finance changes
- Gerald T. Lins - General Counsel, ING Investment Management Americas, New York City
- Michael Macaluso - Partner, Morgan, Lewis & Bockius LLP
- Margaret R.A. Paradis - Partner, Baker & McKenzie LLP
- Ely Razin - Vice President and Editor-in-Chief, Westlaw
March 23