Publications of Interest > Finance > Business & Finance > Practices : Morgan, Lewis & Bockius

05/10/12 Department of Labor Releases Guidance on New Disclosure Rules

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Craig Bitman, Lindsay Jackson, Lisa Barton, Michael Richman, Julie Stapel, I. Lee Falk, Daniel Kleinman, R. Tracht, Marla Kreindler, Donald Myers

Guidance contains clarifications of participant-level disclosures and "good faith" standard for enforcement purposes.

August 2010 Financial Reform Legislation: A Guide to the Employment-Related Provisions

Morgan Lewis Title | White Paper
Thomas Linthorst, Sarah Bouchard

The Wall Street Reform Act dramatically changes the employer-employee landscape, significantly expanding government oversight and regulation of the workplace for employers in the financial services industry and public companies.

07/28/10 Dodd-Frank Wall Street Reform and Consumer Protection Act: Summary of Provisions of Primary Interest to Advisers

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Investment Management Practice

Among the many reforms to occur due to the recent passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act, some provisions will specifically impact the business of those investment advisers registered under the Advisers Act.

07/28/10 Private Fund Investment Advisers Registration Act Enacted Into Law

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Ethan Johnson

Hedge fund and private equity fund managers will now be required to register with the SEC or state regulators, while venture capital fund advisers obtain an exemption from registration.

07/26/10 Financial Reform Act Creates Whistleblower Provisions Likely to Increase FCPA Enforcement

LawFlash/Client Alert | White Collar LawFlash
Alison Tanchyk, Eric Kraeutler

The Financial Reform Act includes whistleblower protections that may increase the reporting of FCPA violations, and provides incentives for reporting information relating to the violation of securities laws.

07/20/10 Congress Passes Sweeping Changes to Labor and Employment Whistleblower Protections

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Thomas Linthorst, Sarah Bouchard

The newly passed Dodd-Frank Wall Street Reform and Consumer Protection Act will be signed into law this week, strengthening the whistleblower provisions of the Sarbanes-Oxley Act and creating several new whistleblower programs.

07/19/10 Landmark Legislation Gives SEC New Enforcement Capability

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
E. Andrew Southerling, Patrick Conner

The newly approved financial reform bill contains new measures expanding the SEC’s enforcement authority and strengthening its oversight and regulatory authority over the nation’s securities markets.

07/16/10 Financial Reform Bill Imposes Significant New Executive Compensation and Corporate Governance Requirements

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Joseph Ronan, Jr., Mims Zabriskie

Amendments to proxy disclosure rules and changes to executive compensation requirements will mean immediate changes for almost all publicly traded corporations.

07/15/10 Department of Labor Finalizes Conditions for Financial Institutions to Serve as QPAMs to Their In-House Plans

LawFlash/Client Alert | Employee Benefits LawFlash
Michael Richman, Donald Myers

In early July 2010, the Department of Labor (DOL) adopted amendments to the class exemption for qualified professional asset managers (QPAMs) to permit them to obtain exemptive relief for transactions for their in-house plans. ... more

07/06/10 Impact of Financial Reform Legislation on Employee Benefit Plans

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Michael Richman, Donald Myers, Thomas D'Ambrosio

Despite the presence of several exclusions for plans and plan-related services, employee benefit plans will feel the effects of the new regulatory requirements.

06/17/10 The New Regulator on the Block—The Bureau of Consumer Financial Protection

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Kathleen Collins

A departure from the disclosure-driven precedents set by past consumer protection laws will usher in the era of the independent consumer financial protection regulator.

06/14/10 Proposed Corporate Governance Changes Applicable to Public Companies

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Marlee Myers, John Hartigan, Linda Griggs, Howard Meyers

Proposed financial reform provisions relating to director elections, proxy access, board leadership structure, board risk committees, and broker voting will affect many public companies.

06/14/10 Systemic Risk Regulation: The Missing Link?

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Kathleen Collins, Robert Mendelson

Gaps in oversight prompt the creation of a new interagency council that will be charged with identifying, monitoring, and responding to systemic risks in the financial sector.

05/28/10 Are You Ready for Derivative Reform? Congress to Reconcile Proposed Derivative Legislation

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Thomas D'Ambrosio

Sweeping derivatives reforms are pending as the House and the Senate hand down new regulations for swaps and security-based swaps, imposing clearing, exchange trading, capital, margin, registration, reporting, recordkeeping, and business conduct requirements.

05/27/10 Financial Reform Addresses Executive Compensation and Corporate Governance

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Marc Leone, Gary Rothstein

Proposed financial reform provisions move to address the perceived link between executive compensation and systemic risk by including substantive and procedural executive compensation requirements and imposing additional corporate governance and disclosure requirements.

05/21/10 Sweeping Changes Made to Labor and Employment Whistleblower Protections

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Thomas Linthorst, Sarah Bouchard

Financial reform legislation, if signed, will—among other changes—allow employee whistleblowers to bypass Sarbanes-Oxley administrative proceedings and its 90-day statute of limitations for bringing retaliation claims.

06/19/09 Financial Regulatory Reform—The Obama Administration Proposal

LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice

On June 17, 2009, the Obama administration released its recommendations to reform the financial regulatory system: Financial Regulatory Reform—A New Foundation: Rebuilding Financial Supervision and Regulation. Describing ... more

04/02/09 Toxic Asset Disposition Plan

LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice

To expedite the removal of troubled “legacy” loans and securities from books of U.S. financial institutions, the U.S. Treasury Department (the Treasury) announced on March 23 the next in a series of initiatives desi... more

12/01/08 Recent Regulatory Initiatives Pave Way for New Bank Investors

LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice

The announcement on Friday, November 21 of a regulatory first—the approval of a “shelf” or “expandable” charter—is the latest sign that bank regulators wish to encourage new equity investors i... more

10/13/08 Motion Picture Industry Benefits Accompany Emergency Economic Stabilization Act of 2008

LawFlash/Client Alert | Business and Finance LawFlash
Richard Petretti

You no doubt already are aware that the Emergency Economic Stabilization Act of 2008 (the Act) was recently signed into law. But you may not be aware that among the “sweeteners” that were added to the bill are a few i... more

10/05/08 The Emergency Economic Stabilization Act of 2008: Impact of the Historic New Law

LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice

The Emergency Economic Stabilization Act of 2008 (the “Act”) was signed into law by President Bush on October 3, 2008. Passage of the Act was the result of intense debate in both the U.S. Senate and the U.S. House o... more

07/08/08 FSA Proposes Extension of UK Major Shareholder Notification Requirements to Equity Contracts for Differences (Including Equity Swaps and Other Equity Derivatives)

LawFlash/Client Alert | Securities Industry FYI
P. Georgia Bullitt, Robert Mendelson

In the light of responses to its 2007 consultation paper on the disclosure of Contracts for Differences (CP07/20), the United Kingdom’s Financial Services Authority (FSA) has decided to implement a general disclosure regi... more

07/19/06 Legal á la Carte - Outsourcing and Financial Services: Regulatory and Commercial Considerations, New York

Presentation | Speech
Kathleen Collins, John Ayanian

Summer 2006 Hang on to Your Laptop—Please, Bank Insurance & Securities Marketing

Outside Publication | Article
Kathleen Collins

2 janvier 2006 Fourniture de logiciel: Livraison de bien ou prestation de service? Option Finance, n° 864