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Financial Institutions

Date Title Type
April 2009 After The Big Bang: The New Credit Default Swap Landscape Article 
January 17, 2014 Asset Management Alert : AMF - Décision de sanction, 4 décembre 2013 - Les pratiques commerciales de commercialisation de produits complexes aux clients non-professionnels Client Alert/Update 
February 3, 2014 Asset Management Alert : AMF – Décision de sanction, 4 décembre 2013 - Précision sur le rôle des consultants externes et le contenu du questionnaire de profil de risques Client Alert/Update 
January 28, 2014 Asset Management Alert : Position-recommandation AMF 2006-23 du 21 janvier 2014 – Questions-réponses relatives au régime applicable aux conseillers en investissements financiers Client Alert/Update 
October 25, 2013 Asset Management Alert : AMF - Accord de composition administrative du 11 juillet 2013 Client Alert/Update 
July 17, 2013 Asset Management Alert : AMF – Décision de sanction, 10/07/2013 -L'AMF précise (un peu) la réglementation relative aux inducements Client Alert/Update 
October 17, 2013 Asset Management Alert : AMF - Décision de sanction, 23 juillet 2013 - Intermédiation en biens divers / Photovoltaïque Client Alert/Update 
November 25, 2013 Asset Management Alert : AMF - Décision de sanction, 28 octobre 2013 - La commercialisation des produits structurés aux clients professionnels Client Alert/Update 
December 17, 2013 Asset Management Alert : AMF - Décision de sanction, 29 novembre 2013 - Le placement des fonds propres Client Alert/Update 
June 18, 2013 Asset Management Alert : AMF – Décision de sanction, 30/04/2013 / SGP - Capital Risque - Conflits d'intérêts Client Alert/Update 
January 13, 2014 Asset Management Alert : AMF - Décision de sanction, 5 décembre 2013 - L'indépendance de la SGP vis-à-vis de son groupe d'appartenance Client Alert/Update 
October 28, 2013 Asset Management Alert : AMF - Décision de sanction, 6 août 2013 - Règles de rédaction des documents commerciaux Client Alert/Update 
September 5, 2013 Asset Management Alert : Arrêts du Conseil d'Etat du 12 juin 2013 - Le Conseil d'Etat clôt le débat sur les sondages de marché Client Alert/Update 
January 16, 2014 Asset Management Alert : Fraude Madoff & SGP - Opportunité pour les investisseurs français de prétendre à une compensation partielle de leurs pertes liées a la fraude Madoff : comment les sociétés de gestion peuvent-elles agir ? Client Alert/Update 
July 1, 2014 Asset Management Alert: AIF Marketing Instruction Client Alert/Update 
July 10, 2013 Asset Management Update: Update regarding recent regulations affecting asset managers in France Client Alert/Update 
June 16, 2014 Asset Management Update: Update Regarding Recent Regulations Affecting Asset Managers in France Client Alert/Update 
June 5, 2009 Bar Date Motion, Proof of Claim Form, Derivative Questionnaire, Guarantee Questionnaire  
September 26, 2008 Carruzzo Comments on Hedge Fund Consideration of Legal Strategy with Regard to Lehman Brothers Quotes/Mentions 
November 21, 2008 Carruzzo Comments on Legal Strategy Being Considered by Hedge Funds With Out-Of-The-Money Claims Against Lehman Quotes/Mentions 
March 10, 2009 Carruzzo Comments on Lehman Request to Enter into Hedging Transactions Quotes/Mentions 
April 21, 2012 Carruzzo Comments on New CFTC Rules for Mutual Funds Quotes/Mentions 
January 26, 2009 Carruzzo Comments on Possibility of SEC, CFTC Merger Quotes/Mentions 
December 1, 2011 Carruzzo Comments to Derivatives Week on ISDA Sample Provisions for Negotiating Collateral Segregation Arrangements Quotes/Mentions 
October 22, 2014 Carruzzo Quoted in Le Nouvelliste Quotes/Mentions 
January 26, 2011 Corporate Alert: SEC Adopts Final “Say on Pay” Rules Under Dodd-Frank Client Alert/Update 
August 28, 2008 Corporate Alert: SEC Issues Guidance on the Use of Company Website Client Alert/Update 
July 2008 Corporate Restructuring and Bankruptcy Alert: Recent Decision Interpreting LSTA Standard Terms and Conditions Client Alert/Update 
December 2008 Credit Default Swap Regulation Overview Article 
September 8, 2008 Derivatives Alert: Fannie Mae and Freddie Mac Conservatorship Prompts ISDA-Sponsored Cash Settlement Auction Protocol Client Alert/Update 
October 18, 2007 Derivatives Alert: Movie Gallery -- The First Test of the Settlement Mechanism for the Loan CDS Market Client Alert/Update 
June 12, 2008 Derivatives Client Alert: Federal Reserve Announces Agreement for Central Credit Derivatives Counterparty Client Alert/Update 
January 30, 2012 Derivatives Week: Effective Collateral Protection for Swaps Article 
January 6, 2014 Directive AIFM : Vers un marché alternatif régulé ? Article 
March 18, 2009 Financial Institutions Alert: After the Big Bang: The New Credit Default Swap Landscape Client Alert/Update 
September 10, 2013 Financial Institutions Alert: Agency Mortgage-Backed Securities Trading - Industry Developments and New Master Agreement Client Alert/Update 
August 19, 2013 Financial Institutions Alert: CFTC Issues Harmonization Scheme, Permits "Substitute Compliance" Client Alert/Update 
April 2, 2009 Financial Institutions Alert: Coercive Debt Exchanges - The Leap-Frog Dilemma Client Alert/Update 
April 23, 2014 Financial Institutions Alert: Collateral Segregation for Uncleared Swaps - CFTC Regulations and Industry Implementation Client Alert/Update 
December 6, 2011 Financial Institutions Alert: Collateral Segregation for Uncleared Swaps - Proposed Industry Provisions Client Alert/Update 
September 20, 2010 Financial Institutions Alert: Dodd-Frank: Implications for Private Fund Managers and Non-U.S. Investment Advisers Client Alert/Update 
February 3, 2010 Financial Institutions Alert: Enforceability of Subordination Provisions in Synthetic CDOs — A Lehman Perspective Client Alert/Update 
October 24, 2013 Financial Institutions Alert: First Circuit Opens Door to Holding Equity Fund Responsible for Multiemployer Pension Plan Liability of Portfolio Company in Sun Capital Partners III, LP v. New England Teamsters and Trucking Industry Pension Fund Client Alert/Update 
February 5, 2009 Financial Institutions Alert: Hedge Fund Transparency Act Client Alert/Update 
July 12, 2010 Financial Institutions Alert: Investment Company Use of Derivatives and Leverage - Task Force Recommendations to the SEC Client Alert/Update 
August 21, 2014 Financial Institutions Alert: ISDA Publishes Credit Derivatives Protocol Client Alert/Update 
June 5, 2009 Financial Institutions Alert: Lehman Brothers Proposed Order Establishing Claims Filing Bar Date Client Alert/Update 
December 2008 Financial Institutions Alert: Preparing for the Unthinkable: The Collapse of Another Major Dealer and Practical Risk Mitigation Strategies To Take Now Client Alert/Update 
April 2, 2009 Financial Institutions Alert: Public-Private Investment Funds - Practical Legal Considerations for Private Investors Client Alert/Update 
July 21, 2009 Financial Institutions Alert: Small Bang: Additional Changes to the CDS Landscape Client Alert/Update 
March 13, 2009 Financial Institutions Alert: U.S. Treasury and Federal Reserve Release Further Details of TALF Client Alert/Update 
October 21, 2008 Financial Institutions Derivatives Alert: Bankruptcy of a Dealer – An Overview of Derivatives Issues Client Alert/Update 
November 6, 2008 Financial Institutions Derivatives Alert: Credit Default Swap Regulation Overview Client Alert/Update 
November 17, 2008 Financial Institutions Derivatives Alert: Lehman Bankruptcy – Procedures for the Settlement or Assumption and Assignment of Derivative Contracts Client Alert/Update 
November 21, 2008 Financial Institutions Derivatives Alert: State of New York Insurance Department Will Not Regulate Credit Default Swaps as Insurance Client Alert/Update 
April 12, 2012 FundsTalk: April 2012 Newsletter 
April 2013 FundsTalk: April 2013 Newsletter 
December 6, 2012 FundsTalk: December 2012 Newsletter 
January 18, 2012 FundsTalk: January 2012 Newsletter 
March 14, 2014 FundsTalk: March 2014 Newsletter 
May 4, 2012 FundsTalk: May 2012 Newsletter 
October 14, 2013 FundsTalk: October 2013 Newsletter 
September 17, 2013 FundsTalk: September 2013 Newsletter 
November 5, 2010 Futures & Derivatives Law Report: Managing Credit Risk of Derivatives Counterparties - A Practical Approach Article 
July 14, 2011 Hedge Fund Law Report: OTC Derivatives Clearing: How Does It Work and What Will Change? Article 
July 31, 2011 Insurance Finance & Investment: DFA + 1 - An Insurance-Industry Retrospective on Dodd-Frank, One Year On Article 
June 27, 2013 Litigation and Corporate Governance Alert: Delaware Chancery Court Upholds Validity of “Forum Selection Bylaws” Client Alert/Update 
February 19, 2014 M&A and Shareholder Litigation Alert: Resisting Settlement: Delaware Court of Chancery Dismisses Meritless Public Company Shareholder M&A Class Action Suits Client Alert/Update 
Winter 2011 NYSBA Inside: The Evolution Will Not Be Televised - Detecting Patterns in the Ongoing Insurance Regulatory Policy Response to the 2008 Financial Crisis Article 
January 22, 2014 Securitization Update: Securitization 2013 Regulatory Wrap-Up Client Alert/Update 
October 31, 2008 Spilko Comments on Regulation of CDS Market in The Deal Quotes/Mentions 
June 5, 2009 Spilko Quoted in The Deal Magazine on Impending Regulatory Changes to the Derivatives Market Quotes/Mentions 
December 5, 2008 Spilko, Carruzzo Comment on Lehman Motion in Debtwire Quotes/Mentions 
June 20, 2012 Swiss Derivatives Review: Regulated Swap Entities under Dodd-Frank Article 
March 7, 2011 Swiss Derivatives Review: The End-User Clearing Exception Article 
April 1, 2010 The Metropolitan Corporate Counsel: Enforceability of Subordination Provisions in Synthetic CDOs - A Lehman Perspective Article 
November 9, 2005 What Every Hedge Fund Should Know in Structuring Its ISDA Derivatives Facilities Article 

Financial Institutions Alert: The New ISDA 2014 Credit Derivatives Definitions: Overview and Implementation

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Financial Institutions Alert: Collateral Segregation for Uncleared Swaps - CFTC Regulations and Industry Implementation

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FundsTalk: March 2014

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