Guide to Bank Underwriting, Dealing and Brokerage Activities discusses the capital markets activities of U.S. and foreign banks and bank holding companies in the U.S. It describes the U.S. regulatory regime applicable to these activities and highlights recent developments regarding the conduct of securities-related and other business under applicable banking and securities laws, including:
- Dodd-Frank
- Gramm-Leach-Bliley Act
- Bank Holding Company Act
- Glass-Steagall Act
- International Banking Act
Coverage includes:
- Integration of investment and commercial banking and insurance activities
- The structure and conduct of derivatives, loan-trading, commodity finance, and related businesses
- Merchant banking
- Fund management issues
- International banking, securities, and derivatives linkages
The Guide also covers other current regulatory developments affecting banking organizations engaged in capital markets activities, including:
- The Volcker Rule
- Swaps dealing registration and regulatory requirements
- OFAC sanctions, Foreign Corrupt Practices Act, and antimoney-laundering developments
- Regulatory reforms targeted at the securitization markets
- Risk management, “affiliate transaction” restrictions, capital, and liquidity issues
- Enforcement and administrative proceedings
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