Occam Regulatory Solutions LLC
Occam Regulatory Solutions LLC
One Sherman Square
Suite 39H
New York, NY 10023
(212) 769-3921 • Fax (212) 702-8788
info@occamreg.com
RAZOR ALERTS



:: 2012 ::

07/18/12 - Whose Money Is It, Where Is It, And When Is It Yours? (pdf or doc)

:: 2010 ::

06/16/10 - Insolvency Treatment of Derivatives (pdf
or
ppt)

04/05/10 - Financial Services Update (pdf or doc)

03/22/10 - Financial Services Update (pdf or doc)

03/18/10 - Status of Proposals to Address US
Derivatives Regulatory Framework - Journal of
International Banking and Regulation, Issue 3 2010
(
pdf or doc)

03/02/10 - Financial Services Update (pdf or doc)

:: 2009 ::

07/31/09 - Say-on-Pay and Independence of
Compensation Committees (pdf or doc)

07/31/09 - US Proposes Regulation of Hedge Funds
for Systemic Risk Purposes (pdf or doc)

07/29/09 - US Proposes Investor Protection and
Hedge Fund Registration Legislation (pdf or doc)

07/29/09 - US Proposes Credit Rating Agency
Reform Legislation (pdf or doc)

07/10/09 - Issues to Consider in Treasury White
Paper on Regulatory Reform (pdf or doc)

07/09/09 - Fed and FDIC Guidelines for Private
Equity Investment in Banks (pdf or doc)

06/14/09 - Proposals for US Regulatory Reform of
Treatment of OTC Derivatives (pdf or doc)

05/28/09 - EU Proposed Directive on Alternative
Investment Fund - what really matters and how it
differs from US proposals

04/14/09 - Credit Rating Agencies: Opportunities
for Legal and Regulatory Reform (Isaac Lustgarten
and Alessandro Gullo - Banking and Financial
Services Policy Report, Vol. 28, No. 3, March 2009)

03/06/09- Hedge Fund Transparency Bill Does Not
Address Systematic Risks

:: 2008 ::

12/17/08 - American Banker Viewpoint: Reforms
Should
Address Correlation Risk

11/16/08 - Summary of President’s Working Group
Proposal on Financial Services

11/14/08 - Stabilization of US Financial System

08/01/08 - SEC Restrictions on Naked Short Selling
in Stocks of Certain Financial Institutions

08/04/08 - Regulatory Actions Regarding Credit
Rating Agencies

05/12/08 - Financial Stability Forum
Recommendations on Financial Sector Reforms

04/23/08 - Best Hedge Fund Practices Report
issued by President's Working Group

06/30/08 - UK and US Trends in the Treatment of
Derivatives, Short Sales, and Contracts for
Differences in Connection with Beneficial
Ownership Disclosure and Market Manipulation

:: 2007 ::

10/2007 -
De Facto Regulation of Hedge Funds
Through the Financial Services Industry and
Protection Against Systemic Risk Posed by Hedge
Funds

10/2007 - De Facto Regulation of Hedge Funds
Through the Financial Services Industry and
Protection Against Systemic Risk Posed by Hedge
Funds - Part II

10/2007 - De Facto Regulation of Hedge Funds
Through the Financial Services Industry and
Protection Against Systemic Risk Posed by Hedge
Funds - Part III

06/28/07 - SEC Guidance Regarding Management’s
Report on Internal Control Over Financial
Reporting, Isaac B. Lustgarten, (NYK #1108507)

05/30/07 - SEC Amendments to Financial
Responsibility Rules for Broker-Dealers, Isaac B.
Lustgarten, (NYK #1101262)

05/08/07 - SEC Proposal Actions on Corporate
Governance, International Accounting Standards
and Model Privacy Form, Isaac B. Lustgarten, (NYK
#1098057)

03/28/07 - Financial Crimes Enforcement Network—
Imposition of Special Measure Against Banco
Delta Asia, Including it as a Financial Institution of
Primary Money Laundering Concern; Isaac B.
Lustgarten  (#NYK1088457)

:: 2006 ::

08/23/06 - Guidance for Financial Institutions on
the Use of Foreign-Based Third-Party Services
Providers; Isaac B. Lustgarten (NYK 1054087)

06/2006 -
Creeping Towards Basel II; Isaac B.
Lustgarten, Banking and Financial Services Policy
Report,

05/16/06 - U.S. Regulators Propose New Complex
Transaction Guidelines; Isaac B. Lustgarten,

04/2006 - Best Practices for Financial Firms:
Managing the Risks of Business with Hedge
Funds; Isaac B. Lustgarten, E. Laurenson, M.
Nissim and F. Fridman, (NYK 968650-19)

02/06/06 - Sharing Suspicious Activity Reports with
Controlling Companies; Isaac B. Lustgarten, (NYK
1021137-1)

02/02/06 - Termination of A Foreign Private Issuer’
s SEC Registration and Duty to File Reports Under
Section 15(d) of the Securities Exchange Act of
1934; Isaac B. Lustgarten,

:: 2005 ::

07/28/05 -
Federal Reserve Rule Regarding Capital
Treatment of Trust Preferred Securities; Isaac B.
Lustgarten, (NYK 966782-4) (7/28/05)

07/28/05 - Dealing with Conflicts of Interest:
Recognize, Inform, Separate and Document; Isaac
B. Lustgarten,  Bank Director

02/2005 - Issues in Document Generation and
Preservation for Financial Institutions; Isaac B.
Lustgarten, Dominic Vote, Wall Street Lawyer (Vol.
8, No. 9)

01/07/05 - The Financial Services Daily Reg
Guidance on Structured Finance Activities Has
Holes; Isaac B. Lustgarten,  American Banker

:: 2004 ::

08/2004 - Anti-Tying Compliance Becomes More
Complex ; Isaac B. Lustgarten; Securities in the
Electronic Age (Vol. 8, No. 3 – Glasser Legal Works
Wall Street Lawyer

07/06/04 - SEC and Bank Regulators Propose
Practices Concerning Complex Structured
Finance; Isaac B. Lustgarten,

06/15/04 - Federal Reserve Proposed Rule
Regarding Capital Treatment of Trust Preferred
Securities; Isaac B. Lustgarten,

2004 - Regulators Speak on Structured Finance
and Banks Need to Listen; Isaac Lustgarten

2004 - Sound Practices Concerning Complex
Structured Finance Activities; Isaac Lustgarten

02/2004 -
Securities Markets: Corporate
Governance Reform and Financial Institution
Intermediaries; Isaac B. Lustgarten,  Jonathan C.
Stapleton,  InSights – The Corporate & Securities
Law Advisor (Vol. 18, No. 2)

01/2004 - Applicability of Corporate Governance
Reform to Financial Institutions Acting as
Intermediaries; Jonathan Stapleton and Isaac
Lustgarten, unpublished article,

:: 2003 ::

12/09/03 - Recent Antitying Developments; Isaac
Lustgarten, Client Advisory,

11/2003 -
Securities Markets – Analyst
Independence – The Issuer Perspective; Isaac B.
Lustgarten, Amanda Paracuellos,  InSights – The
Corporate & Securities Law Advisor (Vol. 17, No.
11)

11/07/03 - Effect of FIN 46 on Capital Treatment for
Trust Preferred Securities; Isaac Lustgarten,
memorandum prepared for and sent to UniCredito
Italiano,

Applicability of Sarbanes-Oxley to Non-U.S. Non-
SEC Registered Issuers; Jonathan Stapleton and
Isaac Lustgarten, unpublished

05/02/03 -
Let Banks Be Intermediaries In the
Commodities Markets ; Isaac B. Lustgarten,
American Banker

03/2003 - OCC Issues Advisory Letters on
Guidelines for National Banks to Guard Against
Predatory and Abusive Lending Practices &
Avoiding Predatory and Abusive Lending Practices
in Brokered and Purchased Loans; Isaac B.
Lustgarten, Client Advisory,

03/2003 - New MD&A Disclosure – Off-Balance
Sheet Arrangements and Contractual Obligations;
Isaac B. Lustgarten,

02/19/03 - New Proposal for Merchant Banking
Capital Adequacy Requirements; Isaac B.
Lustgarten, Client Advisory

02/2003 - Merchant Banking; Isaac B. Lustgarten,
Client Advisory

01/2003 - Impact of Corporate Governance Reform
on Financial Institutions; Isaac B. Lustgarten,

:: 2002 ::

11/15/2002 -
Have Your Forgotten About
Antitying?  The Banking Agencies Have Not;
American Banker, Isaac B. Lustgarten,

11/2002 - Bank and Bank Holding Company
Regulations; Isaac B. Lustgarten, Corporate
Finance – Global Investor;

10/22/02 - Memorandum to Interested Parties:
Analyst/Investment Bank’s Independence NY Suit
Against Five Executives; Senate
Recommendations; Isaac B. Lustgarten,

05/17/02 - SEC Approves Proposals to Address
Conflicts of Interest Raised by Securities Analysts
Recommending Stock SEC; Delays Pushout from
Bank or Broker Dealer Activities; Isaac B.
Lustgarten, Client Advisory,

05/2002 - The Patriot Act: Overview of Anti-Money
Laundering Program Regulations; Isaac B.
Lustgarten,

04/19/02 - The Financial Services Daily: Enron
Cases Underscore Need to Review Information
Policies; Isaac B. Lustgarten,  American Banker

04/17/02 - Merrill Lynch and NY Attorney General
Agreement on Analyst Conflict of Interest; Isaac B.
Lustgarten & Andrew Tranes, Client Advisory,

04/17/02 - Research Analyst Conflicts of Interest;
Isaac B. Lustgarten & Andrew Tranes, Client
Advisory,

04/2002 - Off-Balance Sheet Financing and Krispy
Kreme Doughnuts: The Hold in the Balance Sheet;
Isaac B. Lustgarten,

:: 2001 and prior ::

12/2001 -
Updated Money Laundering Legislation:
Summarized from International Money Laundering
Abatement and Anti-Terrorist Financing Act of
2001; Isaac B. Lustgarten, Bankers Association for
Finance and Trade; (Vol. 6, No. 5)

10/2001 - The Internal Audit Function in Banking
Organizations; Isaac B. Lustgarten; Bankers
Association for Finance and Trade

03/2001 - Are Real Estate Brokerage and Real
Estate Management Financial Activities? Isaac B.
Lustgarten and Paul N. Watterson, Banking &
Financial Services Policy Report

03/2001 - Procedures to Engage in Financial
Activities, Part II; Isaac B. Lustgarten and Paul N.
Watterson, Banking & Financial Services Policy
Report, March 2001

02/2001 - Procedures to Engage in Financial
Activities, Part I; Isaac B. Lustgarten and Paul N.
Watterson, Banking & Financial Services Policy
Report, February 2001

11/2000 - Internet Finance – Part III; Isaac B.
Lustgarten, Banking & Financial Services Policy
Report,

09/2000 - Framework for Financial Holding
Company Supervision; Isaac B. Lustgarten,
Banking & Financial Services Policy Report

09/2000 - Internet Finance – Part II; Isaac B.
Lustgarten, Banking & Financial Services Policy
Report

09/2000 - Internet Finance – Part I; Isaac B.
Lustgarten, Banking & Financial Services Policy
Report

07/2000 - Melon Bank Relieved of Commitments by
GLBA; Isaac B. Lustgarten, Banking & Financial
Services Policy Report

07/2000 - New York Preparing Guidelines for
Securitization of Subprime Loans; Isaac B.
Lustgarten, Banking & Financial Services Policy
Report, July 2000

07/2000 - Rep. LaFalce Introduces the Financial
Information Privacy Protection Act; Isaac B.
Lustgarten, Banking & Financial Services Policy
Report, July 2000

07/2000 - New York Clearing House Association
(NYCHA) Submits Comment Letter on Merchant
Banking Rules and Request to Fed for E-
Commerce Activities; Isaac B. Lustgarten, Banking
& Financial Services Policy Report, July 2000

06/09/00 -
Interim Fed Rule Improperly Restricts
Merchant Banking; Isaac Lustgarten; American
Banker

06/2000 - Senator Sarbanes Introduces Predatory
Lending Act of 2000; Isaac B. Lustgarten, Banking
& Financial Services Policy Report

06/2000 - The European Banking Federation
Responds to the Basel Committee’s Proposal for
Capital Adequacy Framework; Isaac B. Lustgarten,
Banking & Financial Services Policy Report

06/2000 - Basel Committee Papers on Capital
Accord Amendments; Isaac B. Lustgarten, Banking
& Financial Services Policy Report

06/2000 - Fed Approves Schwab Acquisition and
Comments on Supervision and CRA Competition;
Isaac B. Lustgarten, Banking & Financial Services
Policy Report

06/2000 - International Banking and Finance; John
A. Kelley, Isaac Lustgarten, Francisco Videgaray
O., and Etienne Massicotte; The International
Lawyer

02/22/00 - Understanding the Banking Industry
Under the Gramm-Leach-Bliley Act; Isaac B.
Lustgarten, Lynn S. Kaplan, Paul N. Watterson, Jr.;
Banking Policy Report

The Gramm-Leach-Bliley Act and International
Banking; Isaac Lustgarten; [Date and Publication
Unknown]

06/2000 - Financial Modernization Legislation;
Isaac B. Lustgarten, Paul N. Watterson, Edward G.
Eisert and Lynn S. Kaplan; Banking & Financial
Services

1999 - The 1998 Basel Committee Supervisory
Initiatives and their Potential Consequences on
International Banking Activities; Connie M.
Friesen, Isaac B. Lustgarten and Vincent J. Presti;
J.I.B.L. Issue

1999 - Federal Reserve Board Approves Merger of
Citicorp and Travelers; Isaac B. Lustgarten; J.I.B.L.

1998/99 - A New US Financial Services Regulatory
Model; Isaac Lustgarten; Global Banking and
Financial Policy Review

09/09/98 - Money Laundering and Suspicious
Activity Reporting; Betty Santangelo, Marc E.
Elovitz and Stephen P. Davidson; Securities &
Commodities Regulation

08/98 - Bank Equity Investment Activities; Isaac B.
Lustgarten; [Publication Unknown]

04/98 - How Regulatory Change Could Facilitate
Bank Equity Investment Activities; Isaac B.
Lustgarten; Bank Accounting & Finance

11/05/07 - Proposed Revisions To Regulation K;
Isaac B. Lustgarten, Nancy Ameen and Lynn
Kaplan; Banking & Financial Services Policy Report

10/97 - OCC Rule Should Free Banks; Isaac B.
Lustgarten; US Banker

09/97 - Cases And Legislation: Private Finance
Initiative-National health Service; Isaac B.
Lustgarten; International Banking & Financial Law

08/28/07 -
Fed’s Reins on Venture Capital Activities
Too Tight; Isaac B. Lustgarten; American Banker

06/04/97 - Acquisition of An Investment Adviser By
A Banking Organization-Part II; Isaac B. Lustgarten;
Banking & Financial Services

06/1997 - Nationsbank Seeks OCC Approval To
Engage In Real Estate Development And Lease
Financing; Isaac B. Lustgarten; International
Banking & Financial Law

03/21/97 - Acquisition of An Investment Adviser By
A Banking Organization-Part I; Isaac B. Lustgarten;
Banking & Financial Services Policy Report

05/1997 - How to Issue Subordinated Debt Under
the New Tier 3 Capital Rules (co authors Edward G.
Eisert, Lynn S. Kaplan) IFLR (International
Financial Law Review

04/1997 - USA: New Federal Reserve Regulations
Regarding Financial Services Activities; Isaac B.
Lustgarten; International Banking & Financial Law

12/1996 - Changes to US Banking Laws; Isaac B.
Lustgarten; International Banking & Financial Law

07/1996 - Compagnie de Suez and Credit Agricole:  
European Transactions Trigger U.S. Banking Law
Requirements; Isaac B. Lustgarten and John F.
Roddy; International Banking & Financial Law

05/02/96 -
Banks; Securities Firms a Tough Match;
Isaac Lustgarten; American Banker

1996 - United States: The Debanking Process;
Isaac Lustgarten; International Banking and
Financial Law

11/13/95 - Foreign Bank ADR Programs Pass 100;
Thomson’s International Banking Regulator

08/1995 - New Federal Reserve Reporting
Requirements May Alter US Merchant Banking
Investments; Isaac Lustgarten, International
Banking and Financial Law

05/17/95 - Risk Management Guidelines For
Derivatives - Part II; Isaac Lustgarten and Jungling
Ma; Banking & Financial Services Policy Report

04/19/95 - Risk Management Guidelines For
Derivatives - Part I; Isaac Lustgarten and Jungling
Ma; Banking & Financial Services Policy Report

04/1995 - US Financial Services Reform; Isaac
Lustgarten; International Banking and Financial
Law

05/10/94 -
Foreign Banks Can Overcome Hurdles
to U.S. Expansion; Isaac Lustgarten; American
Banker

12/08/93 - Derivative Activities of Banks and Bank
Holding Companies; Isaac Lustgarten; Banking &
Financial Services Policy Report

09/1993 - Supplement: Money Laundering; Isaac
Lustgarten; International Banking and Financial
Law

06/1993 - Supplement: Foreign Bank Supervision;
Isaac Lustgarten; International Banking and
Financial Law

03/1993 - US Capital Developments; Isaac
Lustgarten; International Banking and Financial
Law

11/1992 - Bank and Bank Holding Company
Regulations; Paul N. Watterson, Jr. and Isaac
Lustgarten; Corporate Finance: Global Investor:  
USA:  A Legal Guide for Corporate Activity and
Inward Investment

10/06/92 -
Rate-Risk Plan Would Require Decision;
Isaac Lustgarten; American Banker

09/16/92 - New Capital Adequacy Requirements For
Banks; Isaac Lustgarten; Banking & Financial
Services Policy Report

08/1992 - Foreign Bank Supervision Enhancement
Act 1991; Isaac Lustgarten; International Banking
and Financial Law

04/1992 - New US Regulation of Foreign Banks;
Isaac Lustgarten; International Banking and
Financial Law;

03/1992 - Comprehensive Deposit Insurance
Reform and Taxpayer Protection Act; Isaac
Lustgarten; International Banking and Financial
Law

02/1992 - Extraterritorial Impact of US Bank
Regulation; Isaac Lustgarten; International
Financial Law Review