Dodd Frank English .pdf

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Executive  Training
Dodd Frank Act and American
Financial Regulations

Their impact on your bank, on your hedge fund or
your financial institution
How to get the most out of it in a highly regulated
legal environment

A few words from the Director
The regulation of the financial markets and of the financial transactions have
grown exponentially since the 2007-2008 crisis, the fall of Lehman Brothers, the
difficulties of the AIG, and the international sanctions against Russia and Iran.
Thus there have been several consequences on financial institutions such as BNP
Bank, which has been forced to pay up over 8.9 million dollars by American
financial authorities in 2014.

To better understand the rules and regulatory framework of the financial
transactions in the US, as well as their impacts on domestic and international
banks and financial institutions, we have developed this « Dodd Frank » training
program. Our program is constantly adapting to new regulations and evolving
laws, and organized in a way that suits professionals in the field of finance,
business, and banking, so they can get the most out of these new regulations while
staying at the highest level of competitiveness in their markets.

Olivier Chazoule,
Professor of financial law
International lawyer. LLM, MBA

Olivier  Chazoule  
Director  of  Studies

Day 1 (1/2)
8:15am: Arrival of participants and Welcome Breakfast
9am: Training begins

10:45am: Training resumes
• Dodd Frank Act’s general framework

• Why Dodd Frank ?
• Why the Volcker Rule ?
• Historical reasons that led to the necessity of the Dodd Frank Act
o The crisis of 2007-2008
o The fall of Lehman Brothers
o Difficulties with AIG and the «Too Big to Fail » mentality

• The Volcker Rule and its application

o Panic factor
o The spectrum of a general collapse of markets and financial
markets all over the world
o International sanctions against countries like Russia and
o Consequences we know about, on financial institutions such
as the BNP Bank, which was forced to pay 8.9 billion dollars
to american authorities in 2014.
o Can a crisis of this magnitude happen again?
o The example of Chinese financial markets, in Shanghai and
Shenzhen during the summer of 2015
• The context of the creation of the Dodd Frank Act

• Creation of limitations and guidelines in order to increase
financing and avoid uncontrolled financing methods such as
excessive leverage.

• Is this a good legislation?
• Its extent
• Application to the U.S.
• Application to the rest of the world

10:30am-10:45am: Short break with refreshments.

• Aiming to put an end to « rescue plans » for national economies
that are very expensive. « Too Big to Fail Bailouts »
• Putting in place procedures of closeouts on financial
institutions that are in clear difficulty and can’t preserve a wellbalanced financial state.

12 :30pm-2pm, Lunch in a restaurant in Wall Street

Day 1 (2/2)
2pm-4pm: Training resumes
• Dodd Frank Act and procedures from the FED aiming to start
procedures of systemic backups.
• Establishment of procedures and of rigorous standards in order
to protect the American economy, its consumers and investors.
• Advance Warning System. Creation of consulting that identifies
and addresses the risks posed by large, complex businesses and
• Transparence and responsibility are key, when addressing exotic
financial tools.

4pm-4 :15pm: Break and refreshments
4 :15pm-6pm: Training resumes
• Dodd Frank Act and the elimination of legal loopholes that lead
to fraud, negligence especially among hedge funds, mortgage
brokers, asset backed securities and payday lenders.
• Compensations of high executives and company governance
• Splitting decision making concerning high executive
compensation, and shareholders’ advice. How voting for these
decisions work.
• Protection of investors and shareholders.
• Setting up of new accounting procedures.

6pm: End of the day

Day 2 (1/2)
8:15am: Arrival of participants with a Welcome Breakfast
9:00am: Training
• The information necessary for your business concerning Dodd
Frank Act
o How to inform your team and employees about the main
measures of the Dodd Frank Act
o Establishing the Dodd Frank Act at all levels of the
o The costs associated with the implementation of the
Dodd Frank Act in your company
o Potential revenues associated with the implementation of
the Dodd Frank Act
o Section §165 (d) of the Dodd Frank Act and the necessary
establishment of a « company testament » in case of a
threat of bankruptcy for companies that are over 50
billion in capital
♣ What’s a company will?
♣ What should be in the content of a company will?
♣ Preliminary audit
♣ Strategic analysis as a follow up

10:30am-10:45am: Break with refreshments

10:45am: Training resumes
• New expectations and regulations when it comes to Asset Backed
Securities (ABS)
• Avoid all dangerous situations like in 2007-2008 with ABS, MBS
• The threat of a toxic debt over public and private organizations
due to ABS and MBS
• The Volcker Rule and the new rules of investment
• Banning of proprietary trading or proprietary investing
• Relative banning for sponsoring a hedge fund
• Relative banning when it comes to sponsoring a private equity

12:30pm-2pm: Lunch in a restaurant in Wall Street

Day 2 (2/2)
2pm-4pm: Training resumes

Evaluation of new risks concerning conformity and compliance:

Management of high executive compensations


Alert procedures in specific situations

Effects on other sectors of corporate governance:

Votes on salaries of high executives:


Nominating directors


Independent committees for wages



4:15pm-6pm: Training resumes
o Understanding and putting in place accounting and fiscal
measures by the Dodd Frank Act
o New audit rulings and regulations
o Interactions with external auditors
Measures concerning derivative markets:

Dodd Frank Act fills in any potential legal loopholes and
provides the SEC and the CFTC with the ability to establish
strong rules.

No compensation for liars!

Dodd Frank orients the SEC in order to clarify
declarations linked to compensation, and encourages
companies to provide the public with spread sheets
explaining executives’ compensations, and return on
investments from the past 5 years

Creation of a compensation committee and a negotiation
committee at the Stock Market : which requires centralized
compensation regulations concerning derivative markets.

Collects data and publication through clearing houses or
swap deposits in order to increase transparency

Requirements of financial guarantees

Specific norms: establishing a code of conduct concerning
swap negotiations and participants

Understanding the impact of title XV, « miscellaneous provisions »
and other measures relating to the chain of command.

4pm-4 :15pm: Break and refreshments

6pm: End of the day

Day 3
8:15am: Arrival of participants with a Welcome Breakfast

2pm-4pm: Training resumes

9am: Training

Simulation workshop : putting in place Volcker Rule in your business. (Part 1)

4pm-4 :15pm Break and refreshments
Simulation workshop: putting in place Dodd Frank Act in your business (Part 1)

10:30am-10:45am: Break and refreshments

10:45am-12pm: Training resumes

Simulation workshop: putting in place Dodd Frank Act in your business (Part 2)

12 :30pm-2pm, Lunch in a restaurant in Wall Street

4 :15pm-6pm: Training resumes
Simulation workshop : putting in place Volcker Rule in your business. (Part 2)

6pm: End of the day

Additional information

Duration: 3 days
The next dates of our Training program:

Monday, Tuesday and Wednesday,
November 16th to November 18th, 2015
Monday, Tuesday and Wednesday,
March 21st to March 23rd, 2016
Monday, Tuesday and Wednesday, June
6th to June 8th, 2016

Price per participant : $4,500
*This price includes 3 days of executive training,
classroom rentals in Wall Street, Welcome breakfasts,
Breaks with refreshments and pastries
**Our executive trainings are held in English. They are
also available in French, Chinese, Spanish and
Portuguese upon request
***We charge $75 for each lunch in Wall Street. This cost
is optional, and is not included in the total price of the

Co nt a ct
The  New  York  Institute  for  Business  and  Finance

125  Maiden  Lane,  New  York,  NY  10038  (USA)
OfJice:  (646)  775  2812
Mobile:  (347)  712  1331
Website:  www.newyork-­‐

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