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- NYSE and Nasdaq Issue New Proposed Corporate Governance Requirements
- NYSE and NASDAQ Issue New Proposed Corporate Governance Requirements. While the NYSE and NASDAQ proposals currently differ in some respects, experience indicated that they are likely to converge, and ultimately provide for similar or identical requirements. There has been growing discussion and calls for reform of corporate governance during the...
- White papers 2002-06-14
- Risk Mitigation Strategies for Offshore Outsourcing
- As long as outsourcing continues to offer business advantages, companies will continue to rely upon it as part of their overall business strategy. While outsourcing can be accompanied by significant risks, as outlined herein, there are also risk management techniques than can help to increase the likelihood that an outsourcing...
- White papers 2005-07-01
- New Bank Holding Company Rating System Revises the Focus of the Federal Reserve's Supervisory Practices
- This article provides an overview of the new supervisory rating system that the Federal Reserve has proposed to apply to all Bank Holding Companies BHCs and Financial Holding Companies FHCs. The article first gives some useful background on the current ratings system used by the Federal Reserve's examiners and then...
- White papers 2004-10-01
- Preparing for the Form 8-K Accelerated and Expanded Reporting Requirements
- The new Form 8-K rules requires companies to identify and evaluate the significance of reportable events, and then to prepare and file a report with the Securities and Exchange Commission SEC if necessary, within a very limited period of time. To prepare for the new Form 8-K requirements, companies should...
- White papers 2004-07-22
- The Dividend Exclusion Tax Proposal and Its Potential Effect on Real Estate Investment Trusts
- Whether or not President Bush's proposal to eliminate the taxation of corporate dividends will become law; is highly uncertain. Nevertheless, the possibility of such a fundamental change to the federal income taxation of corporations raises a number of questions as to how such a proposal, if enacted, might impact Real...
- White papers 2003-01-23
- The New Form 8-K: Interpretive Issues for REITs and REOCs
- The changes in Securities and Exchange Commission SEC rules require public companies to make greatly expanded disclosures with significantly shorter deadlines. Real Estate Investment Trusts REITs and other real estate operating companies face particular challenges in applying some of the new SEC rules. This article discusses several of the most...
- White papers 2005-01-13
- The Terrorism Risk Insurance Act of 2002: Coverage in a Post-9/11 World
- The paper outlines that before September 11, 2001, terrorism coverage was routinely included in commercial insurance policies. Insurance claims from the September 11th attacks were estimated at $40 billion to $50 billion with property insurers covering most of the losses. As a result, primary insurers drastically raised their premiums or...
- White papers 2003-02-06
- Isolating Securitized Assets From the Credit and Operating Risk of Originating Banks and Their Affiliates
- A central objective of securitization is to de-link the risks inherent in the securitized assets from the operating and credit risk of the sponsor. Typically this involves structuring designed. This article discusses some of the principal issues related to the achievement of such delinkage in the context of securitizations by...
- White papers 2005-04-08
- Monetizing Mobility: Legal Issues and Structuring Considerations in Securitizing Motor Vehicle Loans and Leases
- A securitization transaction generally involves a credit institution selling loans to a Special Purpose Vehicle SPV that has been expressly set up for a particular transaction or for several similar transactions. The SPV then funds its holdings by issuing asset-backed securities. The securities are backed by and paid from those...
- White papers 2005-02-01
- SEC Approves Final Rule on Disclosure and Registration of Asset-Backed Securities
- On December 15, 2004 the Securities and Exchange Commission SEC approved new rules that provided a comprehensive securities regulatory framework for publicly issued mortgage-backed and Asset Backed Securities ABS. The rules primarily addressed four areas of securities regulation: registration requirements under the Securities Act of 1933, as amended (the "1933...
- White papers 2005-02-01
- Synthetic Securitizations and Derivatives Under Federal Reserve Regulation W
- 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. This article talks about Regulation W, which requires banks to establish and maintain policies and procedures that...
- White papers 2005-02-01
- When Is Your "Debt" Claim Not a Debt Claim?
- It is universally accepted that bankruptcy courts have authority to recharacterize a claim of a creditor as an equity interest in bankruptcy. In trying to determine whether debt should be recharacterized, courts analyze a variety of factors. The paper presents an analysis that attempts to determine whether the transaction created...
- White papers 2003-11-01
- Recent Legislation May Impact Offshore Hedge Fund Deferral Arrangements
- Congress enacted Section 409A of the Internal Revenue Code as part of the American Jobs Creation Act of 2004 to restrict certain deferred compensation arrangements. The Internal Revenue Service IRS issued Notice 2005-1, 2005-2 IRB 274, clarifying certain aspects of the statute, and additional guidance is expected throughout 2005. Although...
- White papers 2005-02-22
- SEC Publishes Adopting Release for Final Hedge Fund Adviser Registration Requirements
- The SEC has issued the formal release (the "Release") adopting a new rule and rule amendments (the "Amendments") under the Investment Advisers Act of 1940, as amended (the "Advisers Act") designed to require "hedge fund" advisers to register under the Advisers Act. The Amendments narrow the exemption from SEC registration...
- White papers 2004-12-10
- "Please Sign Here"– Preparing For Those CEO / CFO Certifications
- The companies in the U.S. are still coming to terms with the policies and procedures laid down in the Sarbanes-Oxley Act. Section 302 of the Act states that the CEOs and CFOs of the companies must certify the annual report. The report should be submitted in accordance with the procedures...
- White papers 2003-01-01
- D&O Insurance: Will It Be Available After a Chapter 11 Filing?
- D&O Insurance is a complicated product that requires close scrutiny. Directors and officers should actively participate in the purchase and negotiation of a policy, especially as a company approaches insolvency. Directors and officers are best protected by a policy which exclusively provides coverage to them without any coverage for the...
- White papers 2002-12-11
- Sarbanes-Oxley Act of 2002 and Related Regulatory Initiatives
- "The Sarbanes-Oxley Act of 2002 and various regulatory initiatives impose a variety of obligations and restrictions on public companies. The statutory and regulatory pronouncements include numerous dates and periods on or by which companies must act or refrain from doing certain actions. The timeline includes a brief...
- White papers 2003-09-03
- SEC Expected to Approve Final NYSE Corporate Governance Listing Standards
- Completing a process that began in June 2002, the SEC is expected to approve the New York Stock Exchange's new corporate governance listing standards. This Advisory discusses the proposed standards as published by the NYSE on October 9, 2003. In most cases, listed companies must comply with the new standards...
- White papers 2003-10-21
- "SEC Adopts New Disclosure Rules Relating to Off-Balance Sheet Arrangements and Contractual
- "On January 27, 2003, the SEC published final rules that specifically require public companies to include a separately-captioned section describing off-balance sheet arrangements and a table summarizing specified types of contractual obligations in the Management's Discussion and Analysis of Financial Condition and Results of Operations (MD&A) section of their...
- White papers 2003-01-01
- Environmental Claims and Bankruptcy - Managing Liabilities on an Uneven Playing Field
- With increasing frequency, troubled businesses are choosing to resolve their problems in bankruptcy courts across the country. Prohibitive costs of environmental clean up can precipitate a cash crisis that drives an unlucky business to seek refuge in reorganization proceedings. More typically, businesses employ bankruptcy proceedings as a tool to manage...
- White papers 2002-01-01
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