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  • John C. Coffee, Jr. – The Trump Indictment: Right Man, Wrong Crime Comment bubble 1 By John C. Coffee, Jr.
  • Climate Disclosure Line-Drawing and Securities Regulation By Virginia Harper Ho
  • Board Committee Charters and ESG Accountability By Lisa M. Fairfax
  • Asset Managers as Regulators Comment bubble 1 By Dorothy S. Lund
  • Reforming the Macroprudential Regulatory Architecture in the United States By Kathryn Judge and Anil Kashyap
  • Predicting the Unpredictable: What Will Musk Do Next? By John C. Coffee, Jr.
  • Transnational Migration of Laws and Norms in Corporate Governance By Jennifer G. Hill
  • Does Common Ownership Really Prompt Managers to Compete Less? By Merritt B. Fox and Menesh S. Patel
Editor-At-Large Reynolds Holding

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Columbia Law School's Blog on Corporations and the Capital Markets

Editorial Board John C. Coffee, Jr. Edward F. Greene Kathryn Judge

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Mike Alix

PwC Discusses SEC’s Increased Scrutiny of Robo-Advisers

By Dan Ryan, Julien Courbe, Adam Gilbert, Mike Alix and Roberto Rodriguez November 8, 2017 by Mike Alix

Earlier this year, the Securities and Exchange Commission (SEC) issued guidance regarding “robo-advisers,” automated investment advice tools accessed via web-based or mobile platforms with minimal human interaction.1 The guidance is an important reminder to the industry that robo-advisers are …

PwC Discusses the Fed’s New Rating System for Large Financial Institutions

By Dan Ryan, Julien Courbe, Adam Gilbert, Mike Alix and Roberto Rodriguez September 8, 2017 by Mike Alix

On August 3, the Federal Reserve (Fed) proposed for comment a new supervisory rating system to assess the safety and soundness of Large Financial Institutions (LFIs).1 This is the first change to the Fed’s supervisory rating system since the …

PwC Discusses Fed’s New Board Expectations Guidance

By Dan Ryan, Julien Courbe, Adam Gilbert, Mike Alix and Roberto Rodriguez September 1, 2017 by Mike Alix

On August 3, the Federal Reserve (Fed) proposed for comment supervisory guidance for boards
of directors of Fed-supervised institutions1 (i.e., Board Effectiveness (BE) guidance). The proposed BE guidance is the result of a multi-year review by the Fed of …

PwC Discusses Bank Resolution Plans’ Public Sections

By Dan Ryan, Julien Courbe, Adam Gilbert, Mike Alix and Roberto Rodriguez August 11, 2017 by Mike Alix

The recently released public sections of the 2017 resolution plans submitted by the eight US global systemically important banks (G-SIBs)1 provide a unique window into the banks’ resolution planning efforts that have developed over the last five years. Notably, …

PwC Offers 10 Key Points From Trump’s First 100 Days

By Dan Ryan, Mike Alix, Adam Gilbert and Roberto Rodriguez May 5, 2017 by Mike Alix

In the 100 days since his election, President Trump and members of his cabinet have continued public calls for a rollback of Dodd-Frank and related regulations enacted since the financial crisis, while offering few concrete actions or proposals. Initially, Wall …

PwC on Basel Committee’s Views of its Fundamental Review of the Trading Book

By Dan Ryan, Julien Courbe, Mike Alix, Adam Gilbert and Armen Meyer February 24, 2017 by Mike Alix

On January 26 the Basel Committee on Banking Supervision (BCBS) released its first set of Frequently Asked Questions (FAQs) on the Fundamental Review of the Trading Book (FRTB). The BCBS published the FRTB in January 2016 with the intent to …

PwC Offers 10 Key Points on SEC’s Consolidated Audit Trail Plan

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer December 23, 2016 by Mike Alix

On November 15, 2016, the Securities and Exchange Commission (SEC) approved a plan to establish a Consolidated Audit Trail (CAT), which will contain a complete record of all equities and options traded in the U.S.[1] The plan will require …

PwC Discusses Election’s Impact on Advisers’ Duty to Retirement Investors

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer December 2, 2016 by Mike Alix

We believe the recent election will have less impact on the Department of Labor’s (DOL) fiduciary duty rule than some in the media are currently speculating.[1] While some provisions may be modified by a new Administration, we believe the …

PwC Discusses OCC’s Scrutiny of Bank Sales Practices

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer November 11, 2016 by Mike Alix

U.S. regulators, led by the Office of the Comptroller of the Currency (OCC), are starting to examine sales practices at large and mid-size banks. They will likely first focus on whether banks have opened accounts for customers without consent as …

PwC on Counterparty Credit Limits: Do You Know Where Your Exposures Are?

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer October 21, 2016 by Mike Alix

Over the summer, the Federal Reserve Board (Fed) concluded the comment period on its reproposed single counterparty credit limits (SCCL) rule issued in March 2016.[1] SCCL is intended to reduce systemic risk by limiting a banking organization’s credit exposure …

PwC explains New Margin Rule for Broker-Dealers in To-Be-Announced Transactions

By Dan Ryan, Mike Alix, Adam Gilbert, Grace Vogel and Armen Meyer August 29, 2016 by Mike Alix

On August 15, the Financial Industry Regulatory Authority (FINRA) issued a regulatory notice adopting a requirement that U.S. registered broker-dealers collect margin on To-Be-Announced (TBA) transactions (FINRA Rule 4210).[1] FINRA’s action follows the Securities and Exchange Commission’s approval of …

PwC discusses the SEC’s Reporting and Public Dissemination Rule: Five Key Points

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer August 5, 2016 by Mike Alix

On July 13, the Securities and Exchange Commission (SEC) adopted a final rule related to the reporting and public dissemination of security-based swap (SBS) transaction information. The rule builds on an earlier reporting rule for security-based swap dealers (SBSDs) finalized …

PwC explains Brexit: Five Key Points

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer July 8, 2016 by Mike Alix

The UK voters’ decision to exit the EU came as a surprise to many observers, as well as the markets, with the “Leave” campaign even hinting at defeat as the polls closed. The Wall Street echo chamber view that it …

PwC discusses Ten Key Points from the SEC’s Business Conduct Standards for Swap Entities

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer May 12, 2016 by Mike Alix

One down, three to go: SEC rulemaking is heating up.

Last month, the Securities and Exchange Commission (SEC) finalized business conduct standards for security-based swap dealers (SBSDs).[1] The completion of this rule by the SEC is significant because few …

PwC discusses Five Key Points from Basel’s Proposed Restrictions on Internal Models for Credit Risk

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer April 7, 2016 by Mike Alix

Last week, the Basel Committee on Banking Supervision (Basel) proposed floors and other constraints on the use of internal models for calculating credit risk capital. The proposal aims to reduce complexity and variation in the calculation of regulatory capital among …

PwC discusses Year-Ahead US Roadmap for Derivatives Regulation

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer February 22, 2016 by Mike Alix

It has been three years since the first wave of registrants applied to be swap dealers (SDs) with the Commodity Futures Trading Commission (CFTC). Since then, SDs have focused on modifying their operations and building compliance programs that accommodate the …

PwC discusses Ten Key Points from Basel’s Fundamental Review of the Trading Book

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer February 5, 2016 by Mike Alix

On January 14th, the Basel Committee on Banking Supervision (BCBS) published its revised capital requirements for market risk. The final standard, also known as the Fundamental Review of the Trading Book (FRTB), is intended to harmonize the treatment …

PwC discusses Key Points from Basel’s Re-proposed Standardized Approach for Credit Risk

By Dan Ryan, Adam Gilbert, Mike Alix and Armen Meyer December 28, 2015 by Mike Alix

The Basel Committee on Banking Supervision (BCBS) on December 10th issued the second iteration of its proposed revisions to the standardized approach (SA) for credit risk measurement. Following up on last year’s initial issuance, the proposed revisions are intended …

PwC discusses Bank Culture: It’s About More Than Bad Apples

By Dan Ryan, Adam Gilbert, Armen Meyer, Mike Alix and Bhushan Sethi December 10, 2015 by Mike Alix

The US Federal Reserve (Fed) again expressed concerns about the culture at financial institutions this month.[1] This has been a recurring theme since the financial crisis, as regulators in the US and abroad have hit industry players with steep …

1 Comment  

PwC highlights Ten Key Points from the Fed’s TLAC Proposal

By Dan Ryan, Mike Alix, Adam Gilbert and Armen Meyer November 16, 2015 by Mike Alix

The Fed proposed its long-awaited Total Loss-Absorbing Capacity (TLAC) requirements on October 30th. As expected, the Fed’s proposal came out tougher than the Financial Stability Board’s (FSB) TLAC standard proposed last year,[1] including limitations on capital distributions and bonus …

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Each business day, our team sifts through blog posts, news stories, and other sources to keep up-to-date on relevant recent developments. The following links will take you to our recommended selections. To see the sources we follow click Filter Sources.

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Cleary M&A Watch
NLRB Cracks Down on Non-Competes
June 7, 2023
Sidley Enhanced Scrutiny
Delaware Courts Abhor Confidentiality
June 7, 2023
Deal Lawyers.com
Delaware Supreme Court Finds Tesla’s Solar City Acquisition “Entirely Fair”
June 7, 2023
Wall Street Journal
SEC Coinbase Case Cuts Broad Swath
June 7, 2023
Reuters
How Morrison Applies to Crypto
June 7, 2023
Reuters
PGA Tour, LIV Announce Shock Merger
June 6, 2023
Dealbook
Sequoia Spins Off China, India Units
June 6, 2023
D&O Diary
ESG-Backlash Suits Hit Airlines
June 6, 2023
Wall Street Journal
What’s Going on With Binance?
June 6, 2023
Securities and Exchange Commission
Coinbase Sued as Unregistered Exchange
June 6, 2023
Reuters
Apple to Tweak iPhone Autocorrect
June 5, 2023
Bloomberg
Binance CEO’s Heir Apparent Emerges
June 5, 2023
Securities and Exchange Commission
SEC Sues Binance and Founder Zhao
June 5, 2023
Jim Hamilton's World
Can Reg S-K Breach Trigger Rule 10(b)?
June 5, 2023
Deal Lawyers.com
Delaware Chancery Says Buyer Can Walk After Capitalization Rep Breach
June 5, 2023
New York Times
Who Is Liable for AI Creations?
June 4, 2023
New York Post
Dogecoin Investors Sue Musk for Trades
June 4, 2023
Reuters
SEC Nixes 42 Cases After Data Mishap
June 4, 2023
Bloomberg
Mystery Trader’s Debt-Ceiling Windfall Prompts Insider Concerns
June 4, 2023
Business Law Prof Blog
Supreme Court Upholds “Tracing” Requirement in Section 11 Cases
June 4, 2023
D&O Diary
The Lowdown on CBDCs, Stablecoins
June 1, 2023
Bloomberg
ChatGPT Doing Hedge Fund Grunt Work
June 1, 2023
CoinDesk
U.S. House Bill Would Say Digital Assets Not Necessarily Securities
June 1, 2023
PubCo @ Cooley
California Board Diversity Law Loses on Summary Judgment
June 1, 2023
Jim Hamilton's World
Crypto Is Most Common Gen Z Investment, FINRA Says
June 1, 2023
New York Times
Walmart Pharmacists, Opticians Win Big
May 31, 2023
Wall Street Journal
Insiders Got Billions Before SPAC Bust
May 31, 2023
Bloomberg
SEC Queries PE Firms That Pulled Cash as Silicon Valley Bank Failed
May 31, 2023
Securities and Exchange Commission
Former SEC Chair Harvey Pitt Dies
May 31, 2023
Deal Lawyers.com
CFIUS Revises Mandatory Filing Date
May 31, 2023
Reuters
Nvidia Briefly Joins $1 Trillion Club
May 30, 2023
D&O Diary
AI Far From Ready to Replace Lawyers
May 30, 2023
Wall Street Journal
Elizabeth Holmes Finally Goes to Prison
May 30, 2023
Bloomberg
Winklevoss Twins Seek Foreign Reset
May 30, 2023
PubCo @ Cooley
SEC Clarifies Rule 10b5-1 Defense
May 30, 2023
Dealbook
Lazard Names Peter Orszag New CEO
May 29, 2023
D&O Diary
Update on SPAC-Related Litigation
May 29, 2023
Bloomberg
Only Third of Earnings Guidance Accurate
May 29, 2023
Wall Street Journal
Ex-Theranos CEO Stirs Inmate Interest
May 29, 2023
Business Law Prof Blog
SEC Climate Rules Face Speech Challenges Before Even Taking Effect
May 29, 2023
Bloomberg
Shaq Served FTX Suit at NBA Game
May 25, 2023
Wall Street Journal
“No Bears Allowed” at Bitcoin Confab
May 25, 2023
Jim Hamilton's World
No IPOs for Second Straight Week
May 25, 2023
Deal Lawyers.com
Delaware Chancery Clarifies “Substantially All” in Asset Deal Case
May 25, 2023
Business Law Prof Blog
SEC Changes Its Speech Disclaimer
May 25, 2023
Reuters
Meta Slashes Business Teams in Layoffs
May 24, 2023
Dealbook
DeSantis Shows Twitter Is Moving Right
May 24, 2023
D&O Diary
How to Navigate the ESG Landscape
May 24, 2023
Sidley Enhanced Scrutiny
How to Future Proof Boards
May 24, 2023
Cleary M&A Watch
Delaware Chancery Grapples With Contract Freedom v. Fiduciary Duties
May 23, 2023
Dealbook
AI-Generated Spoof Rattles Markets
May 23, 2023
Truth on the Market
How Much Info Do Markets Require?
May 23, 2023
Sidley Enhanced Scrutiny
Delaware Chancery Nixes Corwin for Post-Closing Injunctive Relief Claims
May 23, 2023
Jim Hamilton's World
Third Circuit Upholds SEC Decision to Deny Whistleblower Award
May 23, 2023
Dealbook
EU Fines Meta $1.3 Bln Over Privacy
May 22, 2023
D&O Diary
SPAC-Linked Shareholder Suits Reemerge in 2023
May 22, 2023
Bloomberg
FX Boss Convicted of Fraud Over Fake London Investment Firm
May 22, 2023
Bloomberg
Court Unseals Opinion in Carson Block Whistleblower Case
May 22, 2023
Deal Lawyers.com
UBS, Credit Suisse Risks Disclosed
May 22, 2023
New York Times
E-Sports World Starting to Teeter
May 21, 2023
New York Post
Javice Indicted in JPMorgan Fraud
May 21, 2023
Reuters
FTX Seeks Embed Deal Clawback
May 21, 2023
Jim Hamilton's World
Court Nixes California Board Diversity Law
May 21, 2023
Deal Lawyers.com
Delaware Chancery Rules Potential for Control Won’t Trigger Entire Fairness
May 21, 2023
D&O Diary
What’s Worrying Risk Management Pros
May 18, 2023
Bloomberg
Robinhood Settles Hacked Accounts Suit
May 18, 2023
Reuters
Elizabeth Holmes Finally Prison Bound
May 18, 2023
PubCo @ Cooley
SEC Climate Rules Delayed Until Fall
May 18, 2023
Jim Hamilton's World
SEC OKs Proposed Risk Management Rules for Clearing Agencies
May 18, 2023
FCPA Professor
Not Much Yet from SEC on FCPA
May 17, 2023
Wall Street Journal
FTX Investors Can’t Find Shaq
May 17, 2023
Bloomberg
UK Lawmakers Want Crypto and Bitcoin Treated Like Gambling
May 17, 2023
Securities and Exchange Commission
SEC Accuses Microcap Firm of Fraud
May 17, 2023
PubCo @ Cooley
Accounting Enforcement on the Rise
May 17, 2023
D&O Diary
Covid-Linked Securities Suit Hits Disney
May 16, 2023
The Guardian
Michael Lewis Writing Book About SBF
May 16, 2023
Bloomberg
SEC Says Too Busy to Answer Coinbase
May 16, 2023
NBC News
Musk Still Needs a “Twitter Sitter”
May 16, 2023
Jim Hamilton's World
FERC Becomes ESG Battleground
May 16, 2023
Bloomberg
Some Crypto Firms Lack Boards, Audits
May 15, 2023
Bloomberg
CME CEO Threatens to Leave Chicago
May 15, 2023
CNBC
Crypto Firms Playing Poker With SEC
May 15, 2023
CoinDesk
Binance Exits Canada over Regulation
May 15, 2023
PubCo @ Cooley
U.S. Chamber of Commerce Sues SEC Over Share Repurchase Rules
May 15, 2023
Reuters
Argentina to Up Rates as Inflation Soars
May 14, 2023
Securities and Exchange Commission
Records Flaws Fell HSBC, Scotia Capital
May 14, 2023
CNBC
Autonomy Founder Extradited to U.S.
May 14, 2023
Jim Hamilton's World
Culture Wars Mar House ESG Hearing
May 14, 2023
Business Law Prof Blog
Chancery Gives Caremark Another Twist
May 14, 2023
Bloomberg
More Regulatory Probes Hit Robinhood
May 11, 2023
CoinDesk
IRS Files $44 Billion FTX Claim
May 11, 2023
PubCo @ Cooley
Will Chevron Deference Survive?
May 11, 2023
Activist Investor Blog
Activist Again Wins Universal Proxy Vote
May 11, 2023
Corporate & Securities Law Blog
Private Equity Under Antitrust Scrutiny
May 11, 2023
D&O Diary
Kraft Heinz Settles Shareholder Litigation for $450 Million
May 10, 2023
Wall Street Journal
Miami’s Crypto Love Affair Sours
May 10, 2023
Reuters
Prosecutors Eye Bank Share Short Sales
May 10, 2023
Associated Press
Judge Nixes Block Shareholder Suit over Online Music Deal
May 10, 2023
Corporate & Securities Law Blog
NY AG’s Bill Seeks Order in Crypto Biz
May 10, 2023
New York Times
SBF Seeks to Dismiss Charges
May 9, 2023
Wall Street Journal
Scotus Case Imperils SEC Climate Rule
May 9, 2023
Financial Times
Who Is the $279 Mln Whistleblower?
May 9, 2023
Bloomberg
Ex-Coinbase Manager Sentenced to Two Years for Insider Trading
May 9, 2023
Jim Hamilton's World
SEC Brings First Liquidity-Rule Case
May 9, 2023

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