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Regulation W Recap

On Wednesday, the LSTA hosted a CLE webcast featuring William L. Kuhn IV (Executive Vice President and General Counsel of Regulatory, Disclosure and Employment Law) and Tracy Springer (Vice President and Senior Counsel for Global Banking and Commercial Banking) of HSBC on “Regulation W and its Implications for Syndicated Lending”. Regulation W, which implements Sections 23A and 23B of the Federal Reserve Act, provides limits on transactions that US banks and their operating subsidiaries may enter into with their affiliates and can have some surprising consequences in syndicated lending transactions.

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Primary Delayed Compensation Protocol

The Protocol applies to a “Primary Allocation” which is an allocation of new money by a syndicate desk in connection with either (i) a new issue syndication or (ii) an amendment of an existing Credit Agreement. In addition, the Protocol affects when-issued secondary trades by (i) changing what constitutes an Early Day Trade and (ii) […]