Claims: Government Investigations, Enforcement and Triggering Insurance Coverage Under D and O Insurance

Recently, Pepper attorneys Frank A. Mayer, III and Charles E. Leasure, III gave a presentation on when an examination of a regulated institution triggers a claim and benefits under an insurance policy. They discussed the latest issues and how an examination morphs into triggering a claim. This podcast is a portion of their presentation.

Click here to download a PDF of their presentation slides, including an appendix that covers the OCC Relevant Delegations of Authority.

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Corporate End-Users of Financial Derivatives and Dodd-Frank: A New Paradigm

Brian Korn, of counsel and resident of Pepper's New York, Los Angeles and Orange County offices, practices in our corporate and securities group and is a member of the firm's Financial Services Reform Response Team.

Brian recently gave a presentation to the New York City Bar on changes to swaps and derivative products for corporate end-users resulting from the Dodd-Frank Wall St. Reform and Consumer Protection Act of 2010. Brian spent a few minutes with us to discuss the highlights of his presentation, including what companies need to do now to prepare themselves for the changes brought about by the Dodd-Frank regulations.

PDF file of the PowerPoint slides from the presentation.

(Running Time: 11:35)

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CFPB UPDATE: Attorney-Client Privilege Discussion: Senate Passes Bill

On November 14, 2012, Pepper Hamilton attorneys Richard P. Eckman and Stephen G. Harvey conducted a webinar entitled "Is the Attorney-Client Privilege Under Attack by the CFPB?" to review a new rule by the Consumer Financial Protection Bureau to codify protections for privileged information submitted to it by the financial institutions it regulates. The rule follows the CFPB's announced expectation that, upon request, the entities the CFPB supervises will disclose privileged material to it.

The U.S. Senate passed a bill concerning privileged information provided to the CFPB on December 11, 2012 and was signed by President Obama on December 20, 2012. Pepper partner Frank A. Mayer, III sat down to provide an update to this attorney-client privilege discussion in light of these recent developments.

Email podcasts@pepperlaw.com to subscribe to Pepper Hamilton's Financial Services Alerts and Updates.

(Running Time: 36:54)

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Basel III's Liquidity Coverage Ratio

Basel III's Liquidity Coverage Ratio ("LCR") was created to promote short term liquidity resilience for banks over a hypothetical 30 day severe stress scenario. The following podcast with Pepper attorneys Tim McTaggart and Ahmad Hajj focuses on the current Basel III LCR proposal, provides an analysis of the Basel III regulatory weightings for certain products that are anticipated to leave a bank in the LCR's severe stress scenario as well as the specifics of what types of assets qualify as sufficient liquid assets to cover for the flight of such products. The podcast also provides insight into issues U.S. banking regulators may consider in drafting rules for the LCR and the potential impact of the LCR on financial institutions and their funding mechanisms.

Email podcasts@pepperlaw.com to subscribe to Pepper Hamilton’s Financial Services Alerts and Updates.

(Running Time: 26:31)

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Basel III's Net Stable Funding Ratio

Basel III's Net Stable Funding Ratio ("NSFR") was created to promote resilience of a financial institution over a one year period and encourage banks to fund their activities with stable sources of funding. The following podcast with Pepper attorneys Tim McTaggart and Ahmad Hajj focuses on the current Basel III NSFR proposal, provides an analysis of Basel III's available stable funding requirement and the types of products that fit within this requirement as well as a discussion of the types of products that within the required stable funding requirement of the NSFR and the appropriate discounts the Basel III Committee applies to such products. The podcast also provides insight into issues U.S. banking regulators may consider in drafting rules for the NSFR and the potential impact of the NSFR on financial institutions and their funding mechanisms.

Email podcasts@pepperlaw.com to subscribe to Pepper Hamilton’s Financial Services Alerts and Updates.

(Running Time: 33:21)

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In Good Times and Bad, Companies Must Guard Against Embezzlement

Imagine that a trusted employee has embezzled money from you, or worse, the employee is still stealing from you unchecked. The results of thefts like this can be dire for any company, and unfortunately, even a company’s own auditors usually can’t discover the damage before it’s too late.

In this podcast, Pepper partners Frank Devine, Frank Mayer and Joe Crawford discuss a recent matter in which Pepper was able to recover more than $5.2 million dollars of embezzled funds for our client, within seven months of the discovery of the theft. They also provide tips for companies to help prevent embezzlement in the first place.

If you would like to read more about litigation matters, email podcasts@pepperlaw.com to request the latest edition of Pepper Hamilton’s Corporate Litigation Update.

(Running Time: 15:10)

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Housing Update Live - Federal New Issue Bond Program

Recently Pepper Hamilton partner Shel Schreiberg hosted another Housing Update conference in our Washington D.C. office. Our special guest was Harry Sewell, Executive Director of the D.C. Housing Finance Agency. The principal discussion of the session was about the Federal New Issue Bond Program, but the session covered a range of topics including the District's administration of the American Recovery and Reinvestment Act funds and its experience with Exchange Funds.

Listeners can email podcasts@pepperlaw.com to subscribe to Pepper’s Housing Update newsletter.

(Running Time: 51:20) 

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Current Investor Focus and Capital Trends in Banking Sector - Investing in Financial Institutions

Recently Pepper hosted an event entitled “Investing in Financial Institutions – Opportunities and Pitfalls.” This event examined the key legislative and regulatory issues involved in investing in financial institutions and how the rules change when the target institution is a failed bank.

This podcast features the presentation of Lee Calfo and Chad Hull. Chad is a managing director for Boenning & Scattergood, Inc. and Lee is a portfolio manager for 1914 Advisors, a division of Boenning & Scattergood. Their presentation discussed the current investment focus and capital trends in the banking sector.

Download a copy of his presentation.

(Running Time: 42:21)

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Regulatory Issues - Investing in Financial Institutions

Recently Pepper hosted an event entitled “Investing in Financial Institutions – Opportunities and Pitfalls.” This event examined the key legislative and regulatory issues involved in investing in financial institutions and how the rules change when the target institution is a failed bank.

This podcast features the presentation of Frank Mayer and Tim McTaggart. Frank is a partner in the Philadelphia office of Pepper who focuses his practice on counseling regulated business enterprises including tax-exempt organizations, with a special emphasis on financial institutions. Tim is a partner in the Washington, D.C. office of Pepper who focuses his practice on bank and financial services regulatory matters. Their presentation focused on the regulatory issues involved in investing in financial institutions.

Download a copy of his presentation.

(Running Time: 23:56)

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Hot Legislative Issues - Investing in Financial Institutions

Recently Pepper hosted an event entitled “Investing in Financial Institutions – Opportunities and Pitfalls.” This event examined the key legislative and regulatory issues involved in investing in financial institutions and how the rules change when the target institution is a failed bank.

This podcast features the presentation of Tim McTaggart. Tim is a partner in the Washington, D.C. office of Pepper who focuses his practice on bank and financial services regulatory matters. His presentation focused on the hot legislative issues in the banking industry.

Download a copy of his presentation.

(Running Time: 21:22)

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