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GoodwinProcterLogoFinancial Services Newsletter

Goodwin Procter
January 2, 2013
5 pages

In this Issue:

  • Federal District Court’s Holding that Fund Adviser Waived Attorney-Client Privilege During SEC Investigation and Subsequent Lawsuit Highlights Need for Companies to Take Steps to Preserve the Privilege
  • FDIC Modifies and Restates its Statement of Policy for Section 19 of the Federal Deposit Insurance Act
  • OCC Amends its Lending Limits Rule to Extend Temporary Exception for Compliance with Derivative Transactions and Securities Financing Transactions Exposures to July 1, 2013
  • CFTC Issues Exemptive Order and Further Proposed Guidance on Cross-Border Application of Dodd-Frank Swaps Provisions
  • CFTC Issues No-Action Relief for Operators of Pools Investing in Legacy Securitization Vehicles
  • CFTC Issues Time-Limited No-Action Relief Regarding Certain Counterparty Reporting Requirements
  • CFTC Issues Time-Limited No-Action Relief to Swap Dealers Regarding Certain Reporting Requirements
  • U.S. Chamber of Commerce and Investment Company Institute Appeal Federal District Court Ruling Upholding Amendments to CFTC Regulations Affecting Registered Investment Companies

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