Searching Content indexed under Securitization & Structured Finance by Goodwin Procter LLP ordered by Published Date Descending.
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SEC Staff Grants No-Action Relief To Treat Government Mortgage-Backed Securities And Private Mortgage-Backed Securities As Part Of The Same Industry For Purposes Of Registered Funds’ Industry Concentration Policies
The staff of the SEC’s Division of Investment Management granted no-action relief, permitting two registered investment companies, via separate requests for relief.
United States
7 Aug 2013
Basel Committee Revises Liquidity Rules And Grants Banks Additional Time To Satisfy The Liquidity Requirements (Financial Services Alert For January 15, 2013)
The Group of Governors and Heads of Supervision of the Basel Committee on Banking Supervision announced its adoption of certain substantial revisions to the Liquidity Coverage Ratio.
United States
16 Jan 2013
CFTC Issues Range Of Swaps-Related Interpretive Guidance And No-Action Relief (Financial Services Alert For October 16, 2012)
The CFTC issued a number of no-action relief letters and interpretive guidance in the days leading up to the October 12, 2012.
United States
17 Oct 2012
Financial Services Alert – May 17, 2001
The SEC issued a rule proposal that would amend Rule 205-3 under the Investment Advisers Act of 1940, which permits a registered adviser to charge a performance-based advisory fee, i.e., one based on a share of capital gains on, or capital appreciation of, a client’s account.
United States
18 May 2011
Federal District Court Grants in Part Motion to Dismiss Securities Lending Case
In "Diebold, et al. v. Northern Trust Investments N.A., et al.", No. 09-c-1934 (N.D. Ill. Sept. 7, 2010), the U.S. District Court for the Northern District of Illinois granted in part and denied in part a motion to dismiss ERISA breach of fiduciary duty and prohibited transaction claims involving an investment manager’s securities lending program.
United States
4 Oct 2010
Financial Services Alert Quarterly - August 2010
Round-up of issues during the most recent quarter.
United States
12 Aug 2010
FDIC Issues Notice of Proposed Rulemaking Regarding Safe Harbor for Bank-Sponsored Securitizations
On May 11, 2010, the FDIC’s board of directors issued a Notice of Proposed Rulemaking (the "NPR") regarding proposed revisions (the "Proposed Rule") to the safe harbor provided at 12 C.F.R. §360.6 (the "Safe Harbor").
United States
19 May 2010
Senator Dodd Releases Revised Financial Regulatory Reform Bill
Senator Christopher Dodd, the Chairman of the Senate Banking Committee, released a revised version of his comprehensive bill to overhaul the regulation of financial products and services, the Restoring American Financial Stability Act of 2010 (the "Dodd Bill").
United States
17 Mar 2010
SEC Adopts Additional Compensation And Corporate Governance Disclosure Requirements For Public Companies And Registered Funds
The SEC issued the formal release describing rule and form amendments adopted at its open meeting on December 16, 2009 that (a) expand compensation disclosure requirements for operating companies, (b) impose new corporate governance disclosure requirements on operating companies and registered management investment companies ("funds") and (c) modify the manner and timing of disclosure of shareholder voting results for operating companies.
United States
28 Jan 2010
Treasury Proposes Over-The-Counter Derivatives Markets Act Of 2009
On August 11, 2009, the Treasury Department unveiled the Over-the-Counter Derivatives Markets Act of 2009, proposed legislation regulating the over-the-counter derivatives market.
United States
28 Aug 2009
Treasury Financial Regulatory Reform Program – Further Discussion Of Obama Administration’s Proposed Legislation
As discussed in the July 28, 2009 Alert, the Obama Administration, through the Treasury, released the text of proposed legislation for various elements of its financial regulatory reform program (the “Program”) that it has submitted to Congress.
United States
5 Aug 2009
Treasury Releases White Paper Proposing Significant Financial Regulatory Reform - Part 1
On June 17, 2009 the Treasury released a white paper entitled “Financial Regulatory Reform - A New Foundation: Rebuilding Financial Supervision and Regulation” (the “Proposal”) which outlined the Obama Administration’s ambitious plan to reform extensively the U.S. financial regulatory system.
United States
24 Jun 2009
Treasury Releases White Paper Proposing Significant Financial Regulatory Reform - Part 2
The Proposal calls for a comprehensive reform of the consumer protection supervisory framework for financial products.
United States
24 Jun 2009
Potential Advantages of Bank and Mortgage Company Affiliations
The significant turmoil in the mortgage markets is causing many in the industry to re-evaluate how to best engage in the lending business. Stand alone mortgage lenders are finding it increasingly difficult to fulfill their important role of making home ownership a possibility for many Americans. A primary source of this difficulty is the need for funding, as liquidity, namely loan sales, wholesale lines, and structured finance arrangements, have become extremely scarce.
United States
23 Jan 2008
Basel II Final Credit Risk Mitigation, Securitization, Equity Exposure, Operational Risk And Disclosure Rules
This article discusses the final rulemaking (the "Rule") regarding Basel II by the federal banking agencies (the "Agencies").
United States
4 Dec 2007
Federal Banking Agencies Proposed Basel II Securitization and Equity Exposure Rules
A bank that satisfies certain operational requirements and observes restrictions on the provision of implicit recourse to securitizations originated by it must use the securitization framework set forth in Part V of the NPR for on-balance sheet or off-balance sheet credit exposure that arises from the tranching of credit risk of financial assets representing wholesale, retail or equity exposures.
United States
4 Oct 2006
Federal Regulators Issue Report on Improving Financial Privacy Notices for Consumers
The FRB, FDIC, OCC, NCUA, FTC and SEC (collectively, the "Federal Regulators") issued a report entitled Evolution of a Prototype Financial Privacy Notice (the "Report"). The Report concludes the first phase of an interagency project commissioned by the Federal Regulators on privacy notices issued by financial institutions, and the ability of consumers to read and understand them.
United States
21 Apr 2006
Restrictions On Transactions Between Banks And Their Affiliates In Connection With Securitizations
Securitization structures typically involve transfers of assets between a bank and its subsidiaries and may also involve other transactions with entities that control the bank or are under common control with the bank.
United States
1 Feb 2006
SEC Staff Provides No-Action Relief to Permit Joint Accounts to Include Cash Collateral From Securities Lending Program with Affiliated Lending Agent
FinCEN Issues PATRIOT Act Fact Sheet Concerning Foreign Correspondent and Private Banking Accounts; SEC Staff Provides Additional Guidance on Use of Third-Party Ratings of Advisers and the Advisers Act Prohibition on the Use of Testimonials; Federal Banking Agencies Issue Guidance for "Small Entities" Concerning Compliance with Information Security Standards; OCIE Director Discusses Remedial Measures Undertaken by Pension Consultants in the Wake of SEC Staff Report
United States
21 Dec 2005
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