Publications

Searched Practice: Financial Services

"JOBS Act," Listed Private Equity Brief (September 2013)
Kristian Wiggert Author

"ESMA Publishes Revised Regulatory Technical Standards on Types of AIFM," Listed Private Equity Brief (September 2013)
Simon Currie Author

"CFTC Issues Final Interpretive Guidance and Policy Statement and Exemptive Order Regarding Cross-Border Application of Dodd-Frank Swap Provisions," Covington E-Alert (8/5/2013)
Julian Hammar Co-Author

"Dodd-Frank Anti-Retaliation Provisions: Fifth Circuit Narrows Scope, Rejects SEC and District Court Interpretations," Covington Advisory (7/29/2013)
Tammy Albarrán Co-Author, Steven Fagell Co-Author, Haywood Gilliam Co-Author, Barbara Hoffman Co-Author, Nancy Kestenbaum Co-Author, David Martin Co-Author, Christopher Yeung Co-Author

"D.C. Circuit Rejects Department of Labor's 2010 Interpretation That Loan Officers Are FLSA Nonexempt, Sending a Strong Signal on "Agency Flip-Flops"," Covington E-Alert (7/10/2013)
Thomas Williamson Co-Author, Nicholas Hailey Co-Author

"CFTC Exempts Certain Energy Transactions from Dodd-Frank Regulation," Covington E-Alert (4/5/2013)

"The Threat from Within: Theft of Business Critical Information by Company Insiders," (March 2013)
Chris Bracebridge Co-Author, Kurt Calia Co-Author, David Fagan Co-Author, Marialuisa Gallozzi Co-Author, Robert Haney Co-Author, Robert Newman Co-Author, Richard Shea Co-Author, Lindsey Tonsager Co-Author

"Private Sector's Role In White House Trade Secrets Plan," Law360 (2/21/2013)
David Fagan Co-Author, James Garland Co-Author, Robert Newman Co-Author, Richard Shea Co-Author, Kristen Eichensehr Co-Author

"Data Privacy and the Foreign Account Tax Compliance Act," Covington E-Alert (2/14/2013)
Daniel Cooper Co-Author, Dirk Suringa Co-Author

"HUD Issues Final Disparate Impact Rule Under the Fair Housing Act," Covington Advisory (2/14/2013)
John Dugan Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Stuart Stock Co-Author, D. Jean Veta Co-Author, Edward Yingling Co-Author

"CFTC Issues Final Cross-Border Exemptive Order and Proposed Further Guidance Regarding Cross-border Application of Dodd-Frank Swap Provisions," Covington E-Alert (1/2/2013)
Bruce Bennett Co-Author, Julian Hammar Co-Author, Keith Noreika Co-Author, Ira Palgon Co-Author, William Massey Co-Author, Kerry Burke Co-Author

"Ending “Too-Big-to-Fail”: Title II of the Dodd-Frank Act and the Approach of “Single Point of Entry” Private Sector Recapitalizationof a Failed Financial Company," The Clearing House (January 2013)
John Dugan Author, Keith Noreika Co-Author

"CFTC and SEC Jointly Adopt Swap Product Definition Rules and CFTC Adopts a Final Rule Implementing End-User Exception From Mandatory Clearing," Covington E-Alert (7/27/2012)
Bruce Bennett Co-Author

"Dodd-Frank Anti-Retaliation Provisions: Three Federal Courts Weigh In: Significant Uncertainties for FCPA-Based Claims," Covington Advisory (7/12/2012)
Tammy Albarrán Co-Author, Steven Fagell Co-Author, Haywood Gilliam Co-Author, Barbara Hoffman Co-Author, Nancy Kestenbaum Co-Author

"CFTC Proposes Changes to Position Limits Aggregation Rules," Covington E-Alert (5/23/2012)

"CFTC and SEC Jointly Adopt Final Swap Entity Definition Rules," Covington Advisory (5/7/2012)
William Massey Co-Author, Mark Herman Co-Author

"The UK Financial Services Authority Review of Anti-Bribery and Anti-Corruption Compliance in Investment Banks – Proposed New Guidance," Covington E-Alert (4/5/2012)
Robert Amaee Co-Author, Simon Currie Co-Author

"The Long Arm of the Law," International Financial Law Review (April 2012)
Bruce Bennett Co-Author, Frederick Knecht Co-Author, Carey Roberts Co-Author

"Legal Issues Raised by Recess Appointment of Director of Consumer Financial Protection Bureau," Covington Advisory (1/5/2012)
John Dugan Co-Author, Stuart Stock Co-Author, Keith Noreika Co-Author, D. Jean Veta Co-Author, Jennifer Xi Co-Author

"Forms of Entry, Operation, Expansion, and Supervision of Foreign Banks in the United States," Regulation of Foreign Banks and Affiliates in the United States (2012)
John Dugan Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"FDIC Insurance and Regulation of U.S. Branches of Foreign Banks," Regulation of Foreign Banks and Affiliates in the United States (2012)
John Dugan Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Federal Reserve Proposes Rules Implementing Enhanced Prudential Standards and Early Remediation Requirements in Dodd-Frank," Covington Advisory (12/22/2011)
John Dugan Co-Author, Michael Nonaka Co-Author

"The Volcker Rule: Troublesome Implications for Non-US Banks," Financier Worldwide (December 2011)
Frederick Knecht Co-Author, Keith Noreika Co-Author, Carey Roberts Co-Author

"Key Aspects of the SECs Recent Changes to the Advisers Act Pursuant to the Dodd-Frank Act," Covington E-Alert (6/27/2011)
Kerry Burke Co-Author

"CFTC Proposes Order Granting Temporary Relief From Certain Dodd-Frank Provisions," Covington E-Alert (6/20/2011)
William Massey Co-Author

"CFTC and Prudential Regulators Propose Margin Requirements for Uncleared Swaps," Covington E-Alert (4/26/2011)
Bruce Bennett Co-Author, Philipp Tamussino Co-Author, William Massey Co-Author

"Congressional Investigations: Bank of America and Recent Developments in Attorney-Client Privilege," Bloomberg Law Reports (12/6/2010)
D. Jean Veta Co-Author, Brian Smith Co-Author

"Financial Sector Pay Governance," Covington Advisory (12/2/2010)
Simon Currie Co-Author, Christopher Walter Co-Author

"CFTC Issues Interim Final Rule on Reporting Requirements," Covington Advisory (10/7/2010)

"Dodd-Frank Act: Advisers to Private Investment Funds," Covington Advisory (7/21/2010)
David Engvall Co-Author, Carolyn Taylor Co-Author

"Dodd-Frank Act: Bureau of Consumer Financial Protection," Covington Advisory (7/21/2010)
Stuart Stock Co-Author, Keith Noreika Co-Author, Gregory Frischmann Co-Author

"Dodd-Frank Act: New Rules for Derivatives," Covington Advisory (7/21/2010)
Philipp Tamussino Co-Author

"Dodd-Frank Act: Systemic Risk Regulation and Orderly Liquidation of Systemically Important Firms," Covington Advisory (7/21/2010)
Stuart Stock Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Dodd-Frank Act: Final Volcker Rule Provisions," Covington Advisory (7/21/2010)
Carey Roberts Co-Author, Keith Noreika Co-Author, Stuart Stock Co-Author

"Dodd-Frank Act: Revisions to Bank Holding Company Act, Other Banking Reforms and Federal Bank Regulatory Agency Restructuring," Covington Advisory (7/21/2010)
Stuart Stock Co-Author, Keith Noreika Co-Author

"Financial Regulatory Reform Legislation - Systemic Risk Regulation and Resolution of Systemically Important Firms," Covington E-Alert (6/2/2010)

"Financial Regulatory Reform Legislation - Revisions to Bank Holding Company Act, Other Banking Reforms and Federal Bank Regulatory Agency Restructuring," Covington E-Alert (5/27/2010)

"Financial Regulatory Reform Legislation - Senate Passes Consumer Financial Protection Legislation," Covington E-Alert (5/26/2010)
Gregory Frischmann Co-Author

"Financial Regulatory Reform Legislation - Limits on Proprietary Trading and Fund Sponsorship and Investment Activities," Covington E-Alert (5/25/2010)

"Financial Regulatory Reform Legislation - Registration of Advisers to Private Investment Funds," Covington E-Alert (5/24/2010)
David Engvall Co-Author

"Financial Regulatory Reform Legislation - Senate OTC Derivatives Bill," Covington E-Alert (5/21/2010)

"Senate Financial Reform Legislation Addresses Proprietary Trading," Covington E-Alert (3/19/2010)
Stuart Stock Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, David Martin Co-Author, David Engvall Co-Author, Michael Nonaka Co-Author

"Registration of Advisers to Private Investment Funds," Covington Advisory (3/16/2010)
David Engvall Co-Author, Kerry Burke Co-Author

"Senators Merkley and Levin Introduce Proprietary Trading Legislation," Covington E-Alert (3/12/2010)
Stuart Stock Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, David Martin Co-Author, David Engvall Co-Author, Michael Nonaka Co-Author

"Update on Private Fund Adviser Registration," Covington E-Alert (10/29/2009)
David Engvall Co-Author, David Martin Co-Author, Carolyn Taylor Co-Author

"Obama Administration Proposes OTC Derivatives Legislation," Covington Advisory (8/12/2009)
Philipp Tamussino Co-Author, David Engvall Co-Author

"Registration of Advisers to Private Investment Funds," Covington E-Alert (7/16/2009)
David Engvall Co-Author, David Martin Co-Author

"Obama Administration Outlines Proposal for Comprehensive Financial Regulatory Reform," Covington E-Alert (6/17/2009)
Stuart Stock Co-Author, David Martin Co-Author, David Engvall Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Possible SEC Registration of Investment Funds," Covington E-Alert (4/17/2009)
David Engvall Co-Author, David Martin Co-Author, Carolyn Taylor Co-Author

"New Systemic Risk Legislation," Covington E-Alert (4/17/2009)
Stuart Stock Co-Author, Carolyn Taylor Co-Author

"Treasury Outlines Framework for Financial Regulatory Reform," Covington E-Alert (3/27/2009)
Stuart Stock Co-Author, David Martin Co-Author, David Engvall Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author, Mark Plotkin Co-Author

"Obama Administration Unveils Financial Stability Plan," Covington E-Alert (2/10/2009)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Client Advisory On New Federal Credit Card Regulations," Covington E-Alert (12/19/2008)
Keith Noreika Co-Author, Mark Plotkin Co-Author, Stuart Stock Co-Author

"Private Equity Investments in Financial Institutions Part II - The Federal Reserve Issues Policy Statement," Covington E-Alert (9/23/2008)
Stuart Stock Co-Author, D. Jean Veta Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Michael Nonaka Co-Author

"Advising Corporate Directors after the Saving and Loan Disaster," 48 Business Lawyer 1499 (1993)