×
News

Financial Markets Regulatory Roundtable: Over-the-Counter Derivatives and Private Fund Provisions of the Financial Regulatory Reform Legislative Proposals Pending in Congress: An Update for Market Participants, Dealers, Funds, and Advisers

February 2, 2010
Arnold & Porter LLP
399 Park Avenue
New York, NY
By A. Patrick Doyle Martha L. Cochran Daniel Waldman

In December 2009, the US House of Representatives passed the Wall Street Reform and Consumer Protection Act by a vote of 223-202. The debate on overhauling how the financial services industry is regulated now continues in the US Senate. Two areas facing substantial regulation in the new legislation are over-the-counter (OTC) derivatives and private investment funds. Among the areas we will cover are:

  • Registration and regulation for OTC derivative dealers and other major market participants.
  • Centralized clearing and exchange trading of derivatives.
  • Registration, reporting, and record-keeping requirements for private fund advisers.
  • An overview of the House bill's provisions on OTC derivatives and private funds and an update on the current status of the Senate bill.
Find more content tagged:

Stay up-to-date with the latest topics from the firm.

Email Subscriptions RSS Feed (All Perspectives) RSS Feed (News Only)

Meet the speakers

A. Patrick Doyle
A. Patrick Doyle
Retired Partner
Arnold & Porter
apatrick.doyle@arnoldporter.com
VCard
Martha L. Cochran
Martha L. Cochran
Retired Partner
Arnold & Porter
martha.cochran@arnoldporter.com
VCard
Daniel Waldman
Daniel Waldman
Senior Counsel
Arnold & Porter
dan.waldman@arnoldporter.com
VCard

Related Articles

Wednesday, February 19, 2020
Regulatory and Enforcement Trends of 2020 for AML and Sanctions
New York
May 1, 2019
Cybersecurity and Data Privacy Roundtable
Arnold & Porter Seminar
January 23, 2019
2019: The Year Ahead in AML and Sanctions Compliance
Arnold & Porter and Protiviti Seminar, New York, NY
June 5, 2018
Cybersecurity Risks and Considerations for 2018
New York
May 3, 2018
Financial Services: A Review of Recent Legislative and Public Policy Developments
New York
November 10, 2016
True Lender Implications for Marketplace Lending
September 29, 2016
The Current Enforcement Environment Facing the Financial Services Industry: FCA and FIRREA Liability
Arnold & Porter New York Regulatory Roundtable
Thursday, September 8, 2016
New York’s New AML Rule: Strategic Considerations and Alternatives
New York
June 28, 2016
Kaye Scholer Hosts SCI’s Marketplace Lending Securitization Conference
Thursday, June 16, 2016
How Effective Is Your Compliance Program?
Webinar
June 10, 2016
CFPB Enforcement 2016
Webinar
March 29, 2016
Kaye Scholer Co-Sponsors Roundtable on the Expanding Reach of US and Chinese Enforcement
Golodner to Address Breach Diligence at Investment Company Institute Cybersecurity Forum
October 27, 2015
Fair Lending Compliance: Government's Recent Enforcement Actions Reflect Expansive View of What Constitutes Lending Discrimination
New York
October 14, 2015
Recognition and Enforcement of International Arbitration Awards and Foreign Country Monetary Judgments in the US
September 29, 2015
Morriello, Camp Participate in SCI’s “Marketplace Lending in the Regulatory Spotlight”
September 17-19, 2015
Williams to Speak at ABA Business Law Section Annual Meeting
Kaye Scholer Alumni Gathering — CLE Presentations
July 21, 2015
Preparing for Disparate Impact Claims: Strategies for the Financial Services Industry
April 29, 2015
Cyber Security Preparedness: Strategies for Financial Services Firms
New York
December 11, 2014
New York Regulatory Roundtable: Managing Regulatory Issues in Bank M&A
October 30, 2014
New York Regulatory Roundtable: Whistleblowing in the US and the UK: Key Steps to Protecting Your Business
October 1, 2014
New York Regulatory Roundtable: Navigating the Current Enforcement Environment
January 28, 2014 - January 28, 2014
What The Volcker Rule Means for U.S. and Foreign Banks
New York
September 10, 2013
The Implementation Challenge: Court Challenges to Dodd-Frank
New York
April 4, 2013
Prudential Standards and Living Wills: Section 165 of the Dodd-Frank Act - Will It Really Mitigate Risk?
New York
November 15, 2012
Emerging Issues in Clawback Claims - "The Perils of Picard": New Dangers Faced by Defrauded Ponzi Scheme Investors
New York
June 12, 2012
It's Not Just Registration: New Regulation of Swap Transactions by US and Non-US Banks Under the Dodd-Frank Act
New York
March 1, 2012
Iran and OFAC: Implementing Critical New Risk-Based Compliance Measures & Anticipating Enforcement Action in a Time of Heightened Scrutiny
New York
February 28, 2012
Best Practices for Complying with Fair Lending Laws
New York
August 8-9, 2011
2011 EFC / NCHELP Student Loan Finance & Legal Meeting
June 20, 2011
Understanding The Federal Reserve Board's Volcker Rule
April 18, 2011
The 8th Annual Banking Law Institute
April 14, 2011
WEBCAST: The Government's Current Focus on Insider Trading
New York
March 10, 2011
The Dodd-Frank Act and the Implementation of Representations / Warranties / Repurchase Provisions and Due Diligence Provisions Affecting Securitization
February 28, 2011
The New Appraiser: Fees, Coercion and Compliance under the Interim Final Rule Webinar
February 23, 2011
Stress Testing for Community Banks in 2011
January 31, 2011
Administrative Law Review Symposium
December 2, 2010
WEBCAST: Implications of the Dodd-Frank Act for Non-US Banking Organizations, Securities Firms, and Other Financial Companies
November 4, 2010
The Dodd-Frank Act and the Pending Regulation of Securitization
October 5-8, 2010
32nd Annual Regulatory Compliance Conference
September 30, 2010
WEBCAST: The Volcker Rule: What the Restrictions on Proprietary Trading and Fund-Related Activities Mean for Banking Entities and other Financial Service Companies
September 23, 2010
First Annual CFAW-GIC Washington Investment and Regulation Conference
September 14, 2010
Derivatives Oversight Under the Financial Reform Legislation
July 29, 2010
WEBCAST: Is this a Brave New World? Implications of the CFPB and the FTC for Nonbank Financial Services Providers
July 28, 2010
WEBCAST: Financial Reform Legislation: Are You Prepared for What's Coming? Part II
July 21, 2010
Economic and Financial Sector Developments: Priorities of the New British Coalition Government and US Legislative Actions and Impacts
July 20, 2010
WEBCAST: Financial Reform Legislation: Are You Prepared for What's Coming? Part I
June 28, 2010
Fundamentals of Broker-Dealer Regulation 2010
May 26 - 27, 2010
American Conference Institute's 4th National Advanced Forum on Financial Services Marketing Compliance
May 26, 2010
WEBCAST: Arnold & Porter's Perkins on Federal `Red Flags' Rule: BLAW
May 24-26, 2010
20th Annual Finance Industry Conference US Fixed Income Investors
May 4-6, 2010
10th Annual Finance Industry Conference for International Fixed Income Investors
April 20-22, 2010
IPA 2010 Spring Conference
April 13, 2010
ALI-ABA Representing Troubled Banks in 2010: Failures, Acquisitions, and Resolutions
December 17, 2009
WEBCAST: CFPA, AFS, FIRA: Regulatory Reform Alphabet Soup--Making Sense of the Systemic Risk and Financial Regulatory Reform Legislative Proposals from the Obama Administration and Congress
December 9, 2009
Banking Law Update 2009: Shaping the Future of the Financial Services System
November 16, 2009 - November 17, 2009
ACI's Financial Institution Fraud Enforcement & Financial Recovery Measures
New York
November 4, 2009
2009 Treasury and Capital Markets Legal and Legislative Issues Conference
October 30, 2009
Auditor Liability in the Current Environment
October 29, 2009
WEBCAST: Private Capital Investments in Financial Institutions: An Update on Key Developments and Regulatory Issues Associated with Investments in Banks, Thrifts, and their Holding Companies
New York
October 19, 2009
Financial Regulatory Reform
Toronto, ON
October 13, 2009
CARD Act: Navigating the Complex New Rules for Credit Card Lending
October 4, 2009 - October 7, 2009
2009 CRA & Fair Lending Colloquium
New Orleans
October 1, 2009
Emerging Trends in FCPA Compliance and Enforcement
September 22, 2009
Financial Services Reform: What the Regulatory Overhaul Means for Clients
July 28, 2009
Cuomo v. Clearing House: State Enforcement Against Federally Chartered Banks
June 23, 2009 - June 24, 2009
American Conference Institute's 2nd Annual Forum on Prepaid Card Compliance
Washington
May 14, 2009
Using Private Equity and Hedge Fund Structures and Strategies to Invest in Distressed Assets - Part II
April 23, 2009
Treasury's Financial Stability Plan and Framework for Financial Regulatory Reform: An Overview and Update on Key Programs
New York
April 2, 2009
Using Private Equity and Hedge Fund Structures and Strategies to Invest in Distressed Assets
February 5, 2009
The Obama Administration and the New Congress: Outlook for Financial Services Legislative and Regulatory Initiatives
New York
February 2, 2009
A View From Washington--Perspectives on Regulatory Challenges and Priorities
San Francisco
January 29, 2009 - January 30, 2009
3rd National Forum on Export Enforcement and Investigations
Washington
January 27, 2009 - January 28, 2009
ACI 8th Annual Conference on Consumer Finance Class Actions & Litigation
New York
December 16, 2008
Resolving Failed Banks: Issues for Creditors, Counterparties, Potential Investors, and Others
New York
November 18, 2008
Private Equity Investments in Financial Institutions: Regulatory Issues Associated with Investments in Banks, Thrifts, and Their Holding Companies
New York
October 28, 2008
Emergency Economic Stabilization Act: Statutory Structure, the Implementing Regulations and Procedures and Practical Implications of TARP
New York
October 26, 2008 - October 29, 2008
CRA & Fair Lending Colloquium
Orlando
October 21, 2008
Financial Institution Liabilities, Risks & Related Insurance Issues
New York
September 25, 2008
Doing Deals in Difficult Markets: Dos, Don'ts and Dangers
McLean
August 20, 2008
Deloitte Anti-Money Laundering Strategic Leadership Group: BSA/AML Issues
August 11, 2008
American Bar Association Annual Meeting
New York
June 17, 2008 - June 18, 2008
Prepaid Card Compliance: Legal and Practical Guidance for Structuring Products and Mitigating Risk
Washington
March 18, 2008 - March 19, 2008
Subprime Lending Crisis
New York
March 6, 2008
Mealey's Subprime-Backed Securities Litigation Conference
New York
January 29, 2008 - January 30, 2008
American Conference Institute's 7th Annual Consumer Finance Class Actions and Litigation
New York
November 14, 2007 - November 15, 2007
9th Annual Canadian Private Equity & Hedge Funds Summit
Toronto
September 26, 2007 - September 27, 2007
ACI Subprime Lending Litigation & Regulatory Enforcement
Washington
August 6, 2007 - August 7, 2007
2007 Student Loan Finance & Legal Issues Meeting
New York

Email Disclaimer

Reject Accept