Overview of Dodd-Frank

October 19-20, 2017, New York City  Seminar Location

Many classes sell-out; we suggest registering at least two weeks in advance to ensure your seat.

Hours9:00 am – 5:00 pm; Registration/Breakfast: 8:30 am; Dress Code: Business Casual

CPE Credits: 14
Level: Basic/Intermediate

Prerequisites: None
Method: Group Live

The Wall Street Reform and Consumer Protection Act (Dodd-Frank) became a law in the United States in 2010.  Since then, numerous rules greatly impacting the entire US financial system continue to be proposed, debated, and finalized.  This interactive course highlights Dodd-Fran’s fifteen titles.  Specific focus are titles I, II, VI, VII and VIII which greatly impact those financial institutions over $50 billion in assets.  The course is interactive.  This course is targeted to front, middle, and back office professionals as well as risk managers, auditors, compliance personnel, bank and financial regulators, lawyers, legislators and financial journalists.

Course Objectives

At the end of this course, participants should be able to:

  • Describe the components of the Dodd-Frank regulatory reforms
  • Focus on titles:
    • I (FSOC, prudential standards and living wills)
    • II (Orderly Liquidation Authority)
    • VI (Volcker Rule)
    • VII (Derivatives reform)
    • VIII (Central counterparties)
  • Identify advantages and disadvantages to proposed regulations
  • Discuss banks’ reactions  and preparation toward the regulations

Module I:  Overview of Dodd-Frank’s Wall Street Reforms

  • Highlight components and potential effects of:
    • Regulation of Advisors
    • Broker Dealers/SEC/
    • Credit Rating Agencies and Asset-Backed Securities
    • Corporate Governance, Internal Controls, and Private Placements
    • Insurance
    • Consumer Financial Protection Bureau
  • Discuss the role of regulatory agencies in writing and implementing rules

Module II       Title I  Financial Stability

  • Evaluate purpose and role of the Financial Stability Oversight Council
  • Enumerate and discuss requirements for banks’
    • living wills, Comprehensive Capital Adequacy Review (CCAR) and stress tests
  • Describe elements under enhanced prudential standards
  • Discuss how enhanced prudential standards are influencing foreign bank organizations

Module III      Title II Orderly Liquidation Authority

  • Discuss Financial Stability Board’s recommendations for G-20 bank resolution frameworks Describe mechanics of OLA
  • Discuss bank resolution challenges

Module IV      Title VI           The Volcker Rule

  • Discuss market making, liquidity, underwriting, and risk mitigating exemptions
  • Describe quantitative metrics for market making exemption
  • Highlight rules for covered funds

Module V       Title VII         Derivatives Reform

  • Define and describe role of
    • Swap dealer
    • Major swap participant
    • Eligible contract participant
    • Swap execution facility
  • Discuss reporting requirements
    • Swap depositories

Module VI      Title VIII        Central Counterparties

  • Describe Principles for Market Infrastructures
  • Discuss regulatory requirements for central counterparties (CCPs)
  • Elaborate expanding role and size of CCPs

Concluding Remarks and Recommendation of Additional Resources

US $1695.00

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