Dodd Frank English .pdf



Nom original: Dodd Frank - English.pdf
Titre: Dodd Frank - English

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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 in2014.

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 financiallaw
International lawyer.LLM, MBA

Olivier Chazoule
Director of Studies

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


Why Dodd Frank?



Why theVolcker Rule ?



Historical reasons that led to the necessity of the Dodd Frank Act
o The crisis of2007-2008
o The fall of Lehman Brothers
o Difficulties with AIG and the «Too Big to Fail » mentality
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
Iran
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



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.

10:45am: Training resumes


Dodd Frank Act’s general framework



The Volcker Rule and its application



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.



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

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 systemicbackups.



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
corporations.



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 andshareholders.



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
company
o The costs associated with the implementation of the
Dodd Frank Act in your company
o Potential revenues associated with the implementation of
the DoddFrank 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 followup

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
fund

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

Day 2 (2/2)
2pm-4pm: Trainingresumes






Evaluation of new risks concerning conformity and compliance:

4:15pm-6pm: Training resumes

o

Management of highexecutive compensations

o Understanding and putting in place accounting and fiscal
measures by the Dodd Frank Act

o

Alert procedures in specific situations

o New audit rulings and regulations

Effects on other sectors of corporate governance:
o

Votes on salaries of high executives:

o

Nominating directors

o

Independent committees for wages

o
o

o Interactions with external auditors
Measures concerning derivativemarkets:


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 forliars!



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 past5 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)

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

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

6pm: End of the day

Contact
The Business, Finance and Management School
of New York

1350 Avenue of The Americas, New York,
NY 10019 (USA)

Tel/Text/WhatsApp : (646) 765-5151
Email : info@bfmsny.com
Website: www.bfmsny.com




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