More Financial services regulatory publications


Derivatives reform for non-financial services companies

December 2012

For non-financial services companies, regulations introduced by the Dodd-Frank Wall Street Reform and Consumer Protection Act and Basel III will result in significant changes to the derivatives market. Every aspect of a corporation using derivative to manage risk will ultimately be affected—from risk strategies and corporate funding to operations and accounting. This 10Minutes provides insight on the impacts of new regulation on corporate entities and what those entities need to do now in order to meet impending reform deadlines and ensure they're well equipped to manage increased costs and compliance responsibilities.

FATCA and KYC: Similar yet different

November 2012

FATCA extends customer due diligence and reporting requirements well beyond what is typically performed for "Know Your Customer" (KYC) purposes. This whitepaper highlights four key challenges that Anti-money-laundering (AML) and KYC professionals should understand as their financial institutions begin to implement FATCA alongside existing account opening and AML/KYC capabilities.

How we can help commodity pool operators

October 2012

In February 2012, the CFTC approved rules that will require some private fund managers and investment companies to register with the CFTC as commodity pool operators.

Financial services regulatory practice: Form PF - How we can help asset managers

September 2012

The SEC and the CFTC adopted final rules to require registered advisers to private funds to file reports that would help the agencies assess systemic risk. Improved systems, processes and controls will enable information reporting and deliver benefits management reporting, investor reporting, financial reporting and risk management.

CFPB national servicing standards proposal

September 2012

September 2012 - The Consumer Financial Protection Bureau (CFPB) released proposed national servicing standards for comment for the Truth in Lending Act (TILA) and the Real Estate Settlement Procedures Act (RESPA).

A fast take on the impact of the Dodd-Frank Act on asset management firms

April 2012

April 2012 - Several provisions of the Dodd-Frank Act impact the asset management industry, either directly as regulated investment advisers, or indirectly as participants in the markets. Here is a summary of how Dodd-Frank impacts asset managers.

The SEC adopts final rule on hedge fund filing

October 2011

In October 2011, the SEC approved a final rule requiring registered advisers to private funds to report detailed information for the Financial Stability Oversight Council. Here’s what you need to know.

FDIC Board to Consider Volcker Rule Proposal on October 11th

October 2011

The FDIC will discuss the Volcker Rule at its upcoming meeting on October 11th.

Avoiding the Headlines: How Financial Services Firms Can Implement Programs to Prevent Insider Trading

June 2011

For financial services firms, the consequences of an employee, officer, or director being accused of insider trading can be highly damaging. Learn how to review programs and controls to protect your business.