How Officers and Directors of Financial Intermediaries Can Avoid Personal Liability in the Post-Dodd-Frank MarketPillsbury
January 14, 2013
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Crisis & Recovery 
Banking Sector Reform FDIC Targets Directors and Officers of Failed Banks Pillsbury: How Officers and Directors of Financial Intermediaries Can Avoid Personal Liability in the Post-Dodd-Frank Market
Banking Sector Reform FDIC Targets Directors and Officers of Failed Banks Pillsbury: How Officers and Directors of Financial Intermediaries Can Avoid Personal Liability in the Post-Dodd-Frank Market
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Crisis & Recovery Menu
- Overviews
- Dodd Frank & Public Companies
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- Dodd-Frank's CorpGov & Executive Compensation (Overviews) Provisions
- SEC Proposes New Rules for Compensation Committees & Compensation Advisers
- Dodd-Frank Act: Whistleblowing & Bounty Hunters
- SEC Adopts Say-on-Pay, Golden Parachute Rules
- SEC Adopts (& Stays) Proxy Access Rules
- Compensation Clawbacks
- Banking Sector Reform
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- Federal Banking Agencies Propose Joint Leveraged Finance Guidelines
- Fed Approval of Bank Acquisition Sheds Light on "Financial Stability" Analysis
- Federal Reserve Board Proposes Enhanced Prudential Standards
- SEC (et al) Propose Incentive-Based Compensation Rules for Financial Institutions
- Systemic Risk/Financial Stability Oversight Council
- Dodd-Frank & Savings & Loan Holding Companies
- Collins Amendment/Capital Requirements
- "The Volcker Rule"
- Resolution of Systemically Significant Institutions
- Dodd-Frank Act & Non-U.S. Financial Institutions
- Community Banks & Thrifts (Federal Preemption, etc.)
- Federal Agencies' June 2010 Issue Sound Incentive Compensation Guidelines
- More...
- Private Funds
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- FSOC & Designation of Systemically Important Nonbank Financial Companies
- SEC Actions Dodd-Frank Act Provisions on Investment Adviser Registration
- SEC Proposes Exemptions From Investment Adviser Registration
- SEC Proposes to Exempt "Family Offices" From Investment Adviser Registration Rules
- SEC & CFTC Propose Reporting Obligations for Advisers to Private Funds
- Dodd-Frank Act & Non-U.S. Private Funds
- Dodd-Frank Act & "The Volcker Rule"
- SEC Actions Dodd-Frank Act Changes to "Accredited Investor" Definition
- FDIC Rules re: Private Investment in Failed Banks
- OCC's National Bank "Shelf Charter"
- Derivatives
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- CFTC Grants CPO Registration Relief to Funds of Funds Managers
- CFTC Grants CPO Registration Relief to Family Offices
- CFTC Grants CPO Registration Relief to Business Development Companies
- Treasury Exempts FX Swaps and Forwards from Dodd-Frank "Swaps" Definition, CFTC Oversight
- CFTC's October 2012 Swaps Guidance
- SEC Proposes Capital, Margin, and Segregation Rules for Security-Based Swap Dealers
- CFTC & SEC Adopt Swap Product Definitions
- CFTC Proposes Cross-Border Swaps Guidance
- CFTC's Final Rules For Swap Clearing Documentation, Timing & Risk Management
- CFTC Issues Rules For Commodity Pool Operators (CPOs)
- CFTC Rules Re: Collateral Segregation for Cleared Swaps
- CFTC Proposes Regulations to Implement Volcker Rule
- SEC Proposes Rules Re: Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
- IRS Proposes Rules Addressing Notional Principal Contracts and Exclusion of Swaps from Section 1256
- CFTC and SEC Defer Dodd-Frank Swaps Requirements
- SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
- CFTC's Manipulation Rules
- SEC "Re-Adopts" Beneficial Ownership Rules for Equity-Based Swaps
- SEC/CFTC Issue Definitions for "Swap" & "Security-based Swap"
- CFTC Proposes Margin Requirements for Uncleared Swaps
- CFTC & SEC Propose Rules For Swap Execution Facilities
- CFTC's Agricultural Swaps & Commodity Options Proposals
- SEC & CFTC Propose "End-User" Exception to Mandatory Swaps Rules
- CFTC's Position Limit Proposals for Commodities
- CFTC's Swap Data Recordkeeping and Reporting Requirements
- CFTC's "Pay-to-Play" Proposals
- SEC/CFTC Define "Swap Dealer" & "Major Swap Participant"
- CFTC Rules Re: Reporting of Pre-Enactment Swaps
- CFTC & Retail ForEx Transactions
- More...
- Securitization
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- SEC (et al) Propose Risk Retention ("Skin in the Game") Rules for Securitizations
- SEC Requires New Reps & Warranties Disclosure in ABS Offerings
- SEC Requires Issuer Diligence/Disclosure on Pool Assets in Registered ABS Offerings
- SEC Revises Exchange Act Reporting Obligations for ABS Issuers
- SEC Actions Dodd-Frank Provisions Re: Credit Ratings/Agencies
- FDIC's Securitization Safe Harbor
- Mortgage-Backed Securities
- IRS Eases Loan Modification Rules for REMICs
- Consumer Protection & CFPB
- Initial Response
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- American Recovery and Reinvestment Act (ARRA)
- Emergency Economic Stabilization Act (EESA)
- FDIC's Temporary Liquidity Guarantee Program
- TARP & The Financial Stability Plan ("TARP II")
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- Treasury's Public-Private Investment Program
- Financial Stability Plan (Overviews)
- Term Asset-Backed Securities Loan Facility ("TALF")
- Capital Assistance Program (CAP) & "Stress Tests"
- SIGTARP (Special Inspector General TARP)
- TARP-Compensation Issues
- TARP Fund Recipients are "H-1B Dependent"
- Homeowner Affordability and Stability Plan
- Treasury's Money Market Fund Guarantee Program
- FDIC Rules re: Private Investment in Failed Banks
- SEC's Crisis Response
- Dodd-Frank's Extraterritorial Reach
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