Securities Activities of Banks in the GLB Era: Anti-Tying Guidance and Operational Risk Issues

January 19, 2006

Attached is an Outline, “Securities Activities of Banks in the GLB Era: Anti-Tying Guidance and Operational Risk Issues”, which was prepared in connection with the SIA Compliance and Legal Division Annual Seminar to be held on March 22, 2006. The Outline is current as of January 15, 2006. The matters discussed in the Outline -- tying questions, participation in complex structured finance transactions, operational risk issues and SEC supervisory developments -- have general applicability for financial institutions with U.S. banking and securities operations. The operational/reputational risk discussion in particular reflects significant recent developments.

Related Alert Memorandum: Anti-Tying Guidance and Operational Risk Issues

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Securities Activities of Banks in the GLB Era: Anti-Tying Guidance and Operational Risk Issues