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Dropping the Regulatory Hammer: Ten Impending Regulations in US Securities and Investments

Published by: TowerGroup

Published: Apr. 13, 2009 - 18 Pages


Table of Contents


Report Coverage

Introduction

1. Greater Oversight of Derivatives and Structured Products

2. Greater Oversight of Hedge Funds: Registration and Transparency

3. Scrutiny of Securitized Assets, Valuation of Illiquid Instruments

4. New Leverage and Capital Adequacy Standards

5. Reinstatement of the Uptick Rule, Limits on Short Selling

6. Restrictions on Executive Compensation

7. Mortgage Regulations and Asset Securitization

8. Changes in Accounting Rules, International Standardization

9. Revamping of the Credit Rating Business

10. New Rules for Money Market Funds: Amending Rule 2a-7

Summary

Abstract

The US securities and investments business faces the biggest change in regulatory law since the Great Depression, and it encompasses almost every line of business and every functional area.

The greatest regulatory attention today is on OTC derivatives, structured products, and securitized assets, especially related to improving disclosure, transparency, and valuation of these instruments and the markets they operate in.

Concerns about closer scrutiny of the hedge fund business, new standards for the amount of leverage firms can take on, and new capital adequacy rules also are bound to manifest themselves in updated rules and regulations.

In addition to greater disclosure and transparency, common themes across regulation for the US securities and investments industry are simplicity of operations, protection of investor interest, and lower systemic risk for the financial system.

The regulatory initiatives facing the institutional securities and investments business today will have a profound impact on IT and operations of securities firms, driving changes in processing, accounting, recordkeeping, and valuation.

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