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Results: 1-10 of 32

SEC proposals on ABS: review of assets
  • Stikeman Elliott LLP
  • Canada
  • November 4 2010

The second SEC release in response to the requirements of the Dodd Frank Act deals with the requirement of issuers to perform a review of the assets underlying an ABS and to disclose the nature of the review


The Bulk Sales Act and securitization transactions
  • Stikeman Elliott LLP
  • Canada
  • June 20 2012

Rarely do judicial decisions arising under bulk sales legislation garner much attention


Proposals for the regulation of shadow banking postscript
  • Stikeman Elliott LLP
  • Canada
  • May 24 2013

Short term investors are extremely risk-adverse. They demand two things at minimum - ready access to and the safety of their principal. When risk


Recent developments in the Regulation of Shadow Banking
  • Stikeman Elliott LLP
  • Canada
  • November 15 2013

Over the summer and fall shadow banking regulation moved forward on several fronts. First, the SEC proposed rules that would reform the way money


Overview of comments on the CSA's exempt market proposals
  • Stikeman Elliott LLP
  • Canada
  • October 24 2011

Whereas the comments on the definition of securitized product and the prospectus disclosure proposals were quite limited and restrained, those on the proposed exempt market rules were both extensive and harshly critical


Regulatory overkill, American style
  • Stikeman Elliott LLP
  • Canada
  • November 18 2011

Emerging from the vast literature generated by the recent financial crisis are two competing narratives attempting to identify the root cause of the crisis


Regulatory overkill, Canadian style
  • Stikeman Elliott LLP
  • Canada
  • November 25 2011

Last week, I highlighted regulatory overkill in the U.S. where, together, Congress and the SEC have proposed scorched earth solutions to the issues raised by the financial crisis


SEC and CSA restrictions on the exempt market for securitized products
  • Stikeman Elliott LLP
  • Canada, USA
  • May 16 2011

As reported earlier, the SEC has included in Reg AB II proposals relating to the private market


Dodd-Frank proposed risk retention rules and safe harbour for foreign transactions
  • Stikeman Elliott LLP
  • Canada, USA
  • May 9 2011

On March 29, 2011, the SEC together with a number of other federal regulators and agencies proposed rules relating to risk retention for securitizations which had been mandated by the Dodd-Frank Act in order to "provide a sponsor with an incentive to monitor and control the quality of the assets being securitized and help align the interests of the sponsor with those of investors in the ABS"


CSA proposed securitized products rules - parties, Part II
  • Stikeman Elliott LLP
  • Canada
  • April 18 2011

As indicated in a previous piece, Item 1 of the proposed CSA rules deals with the various parties to a transaction and requires clear identification of each role that they play and the specific functions and responsibilities being performed in connection with each role