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The Review of Securities & Commodities Regulation and
The Review of Banking & Financial Services.

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To learn more about our publications click on the "About the Reviews" link above.
Some recent articles for each review are listed below. To read first page of an
article click on the title.


CLE Credit


 
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Some Current Articles in
Securities & Commodities Regulation:

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Swap Dealer Chief Compliance Officer Requirements – First Year in Review by Dan M. Berkovitz and Gail Bernstein – WilmerHale

City of Pontiac:  Second Circuit Further Limits when U.S. Securities Laws May Reach Non-U.S. Securities and Issuers by Owen Pell, Gregory Stamer, Kim Haviv, and Joshua Elmore – White & Case LLP

Disclosure Hot Topics in M&A Litigation by Deborah S. Birnbach and Morgan R. Mordecai – Goodwin Procter LLP

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Alternative Funds in the Registered Fund Marketplace by Alan R. Gedrich and Christopher J. Zimmerman – Stradley Ronon Stevens & Young LLP

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Private Equity Funds and the Volcker Rule by Marc R. Ponchione, Heath P. Tarbert, and Gordon L. Miller – Allen & Overy LLP

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Employer Liability for Insider Trading by Mary P. Hansen and William L. Carr – Drinker Biddle and Reath LLP

Protecting Financial Advisors in M&A Litigation by Abby F. Rudzin, R. Scott Widen, and Brad M. Elias – O'Melveny & Myers LLP

Structural Defenses to Shareholder Activism by Stephen M. Gill, Kai Haakon E. Liekefett, and Leonard Wood – Vinson & Elkins LLP

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The Effect of Arbitration Agreements on Class Actions by Rex S. Heinke, Julia I. DeBeers, and Elias Dabaie – Akin Gump Strauss Hauer & Feld LLP

Time for a 2014 ISDA Master Agreement by John Servidio, Peter Tucker, and Ryan Taylor – McGuire Woods LLP and Bank of America Merrill Lynch

Advance Planning for Sponsor-Backed IPOs by Matthew E. Kaplan and Steven J. Slutzky – Debevoise & Plimpton LLP

The CFTC's Cross-Border Application of the Dodd-Frank Act by Matthew Kluchenek and James Schwartz – Baker McKenzie, LLP

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The SEC's New Enforcement Program by Richard M. Phillips, Jeffrey L. Bornstein, and Leanne E. Hartmann – K&L Gates LLP

The SEC's Policies on Civil Penalties and Admissions in Settlements by Herbert F. Janick III and John Lupton – Sidley Austin LLP

U.S. Sanctions on Iran: The Joint Plan of Action for Containing Iran's Nuclear Program by Jeanine P. McGuinness – Davis Polk & Wardwell LLP

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Credit Rating Agency Litigation by Roberta A. Kaplan and Jacob H. Hupart – Paul, Weiss, Rifkind, Wharton & Garrison LLP

Investment Company Performance: The Board's Oversight Role by Rose F. DiMartino and Ryan P. Brizek – Wilkie Farr & Gallagher LLP

The JOBS Act and IPOs by Deanna Kirkpatrick – Davis Polk & Wardell LLP


Compliance and Legal Personnel: Potential Supervisory Liability by Paul R. Berger, Kenneth J. Berman, Robert B. Kaplan, Jonathan R. Tuttle, Lee A. Schneider, and Ryan M. Kusmin – Debevoise & Plimpton LLP

 

 

 

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Some Current Articles in
Banking & Financial Services:

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Class Litigation of Lender-Placed Hazard Insurance by Frank G. Burt, W. Glenn Merten, Richard D. Euliss, and Abigail J. Kortz – Carlton Fields Jorden Burt, P.A.

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The Volcker Rule's Impact on Foreign Banking Organizations by Henry M. Fields and Barbara R. Mendelson – Morrison & Foerster LLP

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FACTA Class Actions – Beware the Truncation Requirement of the Fair and Accurate Credit Transactions Act by Burt Braverman and Micah J. Ratner – Davis Wright Tremaine LLP

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Government Scrutiny of AML Compliance Efforts by Aaron R. Marcu – Freshfields Bruckhaus Deringer

Esoteric Mortgage Securitizations by Chris DiAngelo – Katten Muchin Rosenman LLP

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Valuing Contingent or Disputed Assets and Liabilities in Solvency Opinions by Ian Ratner, Jonathan T. Edwards, Jeremy L. Wallison, and John C. Weitnauer – GlassRatner Advisory & Capital Group LLC, Alston & Bird LLP, and Wallison & Wallison LLP

Understanding the Tronox Case by David M. Hillman – Schulte Roth & Zabel LLP

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The State of Cybersecurity Regulation in the Financial Services Sector by Stuart D. Levi and Joshua Gruenspecht – Skadden, Arps, Slate, Meagher & Flom LLP

U.S. Economic Sanctions: Due Diligence for Financial Institutions by Melvin Schwechter – Baker & Hostetler

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Legal Privilege and Related Issues in Insolvency and Restructuring Matters by Christopher Harris and William Furnish – Latham & Watkins LLP

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The CFPB Signals Revolutionary Changes to the Collection Industry by Nanci L. Weissgold – K&L Gates LLP

Exempt Structured Products Programs in the U.S.: Issues for Non-U.S. Banks by Bradley Berman, Lloyd S. Harmetz, and Anna T. Pinedo - Morrison & Foerster LLP

 

 

 

 

 

 

 

 


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