by David Schwartz J.D. CPA | Mar 24, 2015 | All, Formal Regulatory Remedies
In a March 4, 2015 letter, two House Republicans requested answers from Department of Labor (DOL) Secretary Thomas E. Perez about the process for devising new fiduciary rules for investment professionals providing services to retirement plans. Representative John...
by David Schwartz J.D. CPA | Mar 19, 2015 | All, ROSE
The focus of the Winter 2015 ROSE Program was global securities financing data collection and aggregation. This year, Five teams of Fordham University graduate and undergraduate students researched and drafted comment responses to the Financial Stability Board’s...
by David Schwartz J.D. CPA | Mar 19, 2015 | All, Change Overview and Rationale, Formal Regulatory Remedies
Pursuant to a mandate in the Dodd-Frank act, both the Department of Labor and the Securities and Exchange Commission have been working to develop uniform fiduciary standards for investment advisers and broker-dealers. The efforts of the DOL and SEC have unfolded over...
by David Schwartz J.D. CPA | Mar 16, 2015 | All, Formal Regulatory Remedies, Procedural Changes
In a recent address before the Center for the Study of Financial Regulation at the University of Notre Dame’s Mendoza College of Business, SEC Commissioner Michael S. Piwowar urged academics to engage more actively in policy debates over securities regulation....
by David Schwartz J.D. CPA | Feb 24, 2015 | All, Change Overview and Rationale, Formal Regulatory Remedies
The Basel Committee on Banking Supervision has announced its planned areas of focus for 2015 and 2016 as it continues to propose and finalize the remaining elements of its Basel III regulatory reform agenda. The Committee will continue to pursue its post-crisis reform...
