by David Schwartz J.D. CPA, Executive Director | 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, Executive Director | 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...
by David Schwartz J.D. CPA, Executive Director | Feb 19, 2015 | All, Change Overview and Rationale, Formal Regulatory Remedies
Over the objections many, including asset managers, insurance companies, and even legislators and other regulators, the Financial Stability Oversight Council (FSOC) has pushed ahead with its mandate to identify risks to financial stability that could arise from the...
by David Schwartz J.D. CPA, Executive Director | Jan 26, 2015 | All, Change Overview and Rationale, Formal Regulatory Remedies
Today, the Securities and Exchange Commission announced that it will hold a February 19 public roundtable discussion on improving the proxy voting process. The roundtable, which will be held at the SEC’s Washington, DC headquarters, will focus on universal proxy...
by David Schwartz J.D. CPA, Executive Director | Jan 20, 2015 | All, Disclosure Regimes, Formal Regulatory Remedies
The SEC has issued final rules governing security-based swap data repositories (SDRs) prescribing reporting to regulators and setting public disclosure requirements for security-based swap transaction data. These new rules implement mandates under Title VII of the...
