by David Schwartz J.D. CPA | May 19, 2016 | All, Change Overview and Rationale, Formal Regulatory Remedies
On December 22, 2015, the Securities and Exchange Commission left a present in all our stockings with its publication of a 208-page advanced notice of proposed rule making and concept release on the regulation of transfer agents. Modernizing the aging rules for...
by David Schwartz J.D. CPA | May 15, 2016 | All, Change Overview and Rationale, Formal Regulatory Remedies
In March 2016, the Bank for International Settlements (BIS) published a paper reviewing the current knowledge and empirical data on the effects of new bank capital and liquidity requirements. This literature review is comprised of three essays surveying the current...
by David Schwartz J.D. CPA | May 14, 2016 | All, ROSE
On May 16, 2016, Fordham students participating in the Center’s Regulatory Outreach for Student Education (ROSE) Program submitted their winning comment letter on the Basel Committee’s December 17, 2015 consultation, “Identification and Measurement...
by David Schwartz J.D. CPA | Apr 27, 2016 | All, Change Overview and Rationale
On April 13, 2016, the Office of Financial Research (OFR) published its annual systemic importance data for the world’s larges banks. Based on data released in 2013 and 2014 by the Basel Committee, the OFR’s report examined data for the global 30 banks designated as...
by David Schwartz J.D. CPA | Apr 20, 2016 | All, Change Overview and Rationale, Formal Regulatory Remedies
In their April 16, 2016 report, Review of Asset Management Products and Activities, the Financial Stability Oversight Council (FSOC) requested that regulators make coordinated and permanent efforts to collect more data on securities lending. Noting that that current...
