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Treatment of Commercial End-Users of Swaps

One-Hour Briefing  One-Hour Briefing

This briefing will review the status and responsibilities of commercial end users of swaps under Title VII of Dodd-Frank and the regulations thereunder.  In analyzing the impact of Title VII on commercial end users, we will review the ways in which the regulators have distinguished between commercial end-users and other types of swap market participants, including with respect to clearing, swap execution, margin, reporting and recordkeeping requirements.   Please ...

Basics of the U.S. Foreign Corrupt Practices Act (FCPA) 2015

One-Hour Briefing  One-Hour Briefing

Within the last decade, Foreign Corrupt Practices Act (FCPA) enforcement has become a juggernaut of U.S. enforcement agencies.  The U.S. authorities that enforce the statute, the U.S. Department of Justice (DOJ) and the U.S. Securities and Exchange Commission (SEC), brought five enforcements actions, combined, in 2004.  Over the following decade the SEC and DOJ brought hundreds of enforcement actions and collected billions from corporations ...

Enforcement 2015: Perspectives from Government Agencies

Seminar  SeminarWebcast  WebcastGroupcast  Groupcast

This is a webcast of the live New York session.Why You Should Attend We continue to see unprecedented enforcement efforts by government and regulatory agencies. This unique program brings together panels of senior staff from the various enforcement and regulatory agencies, including the U.S. Commodity Futures Trading Commission, FINRA, New York State Department of Financial Services, U.S. Securities and Exchange Commission, U.S. Attorney’s ...

Credit Rating Regulation from AAA to Z

One-Hour Briefing  One-Hour Briefing

Some have said that more than any other single factor, overly optimistic credit ratings triggered the financial crisis of 2008 and the “Great Recession.”  Yet with limited exceptions, credit rating agencies flew largely under the regulatory radar screen before that.   During this program, Robert Harris, currently a consultant to the Credit Rating Agency Constituent Group of the Financial Information Services Association ...

Featured Faculty/Authors
Jae  Kim

Jae Kim ~ Senior Vice President and General Counsel, Rambus Inc.

Lori A. Richards

Lori A. Richards ~ Chief Compliance Officer, Asset Management Unit, JP Morgan & Co

Edwin E. Smith

Edwin E. Smith ~ Morgan Lewis & Bockius LLP