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Course Details

The Volcker Rule: Ensure Your Bank Is Compliant

Webinar: ID# 1014386
Recorded CD
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About This Course:
The Volcker Rule now requires financial, legal, and IT professionals to get to work. What are the key challenges and how are the prudential regulators demonstrating their expectations? Frank A. Mayer will discuss the significant and latest issues surrounding the final rules of the Volker Rule. This is a must attend for anyone interested in understanding the significant issues relating to implantation and compliance with the final Volcker Rule.

Agenda

General Overview and Summary of the Volcker RuleImpacted Business Lines and Products
  • Impact to Specific Business Lines and Products
  • Which Products and Investments Are Likely to Change
Recordkeeping Systems and Maintenance
  • Value-At-Risk and Stress VaR
  • VaR Exceedance
  • Risk Factor Sensitivities
  • Risk and Position Limits
  • Comprehensive Profit and Loss
  • Portfolio Profit and Loss
  • Fee Income and Expense
  • Spread Profit and Loss
  • Comprehensive Profit and Loss Attribution
  • Pay-To-Receive Spread Ratio
  • Unprofitable Trading Days Based on Comprehensive Profit and Loss and Unprofitable Trading Days Based on Portfolio Profit and Loss
  • Skewness of Portfolio Profit and Loss and Kurtosis of Portfolio Profit and Loss
  • Volatility of Comprehensive Profit and Loss and Volatility of Portfolio Profit and Loss
  • Comprehensive Profit and Loss to Volatility Ratio and Portfolio Profit and Loss to Volatility Ratio
  • Inventory Risk Turnover
  • Inventory Aging
  • Customer-Facing Trade Ratio
Conformance Process
  • Identify Business Strategy Change
  • Underwriting and Market Making Exemptions
  • Compliance and Auditing Requirements
  • Updating Compliance Manuals
  • Evaluate Data Collection and Monitoring Requirement and Required Enhancements
  • Hedging Compliance
Role of Supervisors and Examiners
  • Discuss the Role of the Different Regulators in Enforcing and Monitoring Volcker Rule Compliance
FACULTY

Frank A. Mayer, III
  • Partner in the Financial Services Practice Group at Pepper Hamilton LLP
  • Extensive experience in bank regulation, international banking, bank insolvency, receiverships and related business disputes, public finance and corporate finance
  • Former senior counsel with the Federal Deposit Insurance Corporation (FDIC), where he was a senior attorney and acted as senior counsel for the Resolution Trust Corporation (RTC)
  • Former consultant with the AXA Group, counseling the company on federal and state legislation of interest to financial institutions, insurance companies and investment banking firms
  • Former head of the corporate department in the City of Philadelphia Law Department before returning to private practice
  • Selected to the Pennsylvania Super Lawyers list since 2004
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The Volcker Rule: Ensure Your Bank Is Compliant
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