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Compliance Issues in Syndicated Debt Deals Involving Regulated Financial Institutions  


Author:  Alison Manzer.


Source: Volume 28, Number 01, September/October 2014 , pp.5-16(12)




Journal of Taxation and Regulation of Financial Institutions

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Abstract: 

This article explores several regulatory compliance issues that participation in a syndicated finance deal can create and considers related provisions in credit agreements. The author focuses on requirements for anti-money laundering and terrorist financing identification, as well as credit assessment and unsound lending practices.

Keywords: debt syndication; know-your-customer; lead arranger; regulatory compliance; due diligence; information asymmetry; anti-money laundering

Affiliations:  1: Cassels Brock & Blackwell LLP.

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