by David Schwartz J.D. CPA | Mar 25, 2014 | All, Formal Regulatory Remedies
In a strong defense of the stability and safety of the asset management industry, Investment Company Institute President and CEO Paul Schott Stevens told the Mutual Fund and Investment Management Conference that not only are asset managers and the funds that they...
by David Schwartz J.D. CPA | Mar 19, 2014 | All, Formal Regulatory Remedies
“Clearing agencies that have been designated as systemically important or that clear security-based swaps are a backbone of the U.S. financial markets. The enhanced regulatory regime proposed today reflects the importance of effective regulation of these...
by David Schwartz J.D. CPA | Mar 12, 2014 | All, ROSE
In a web based meeting today, CSFME’s Executive Director Ed Blount and Senior Policy Analyst David Schwartz met with a group of Fordham University’s graduate and undergraduate business students to invite them to participate in the real world of regulatory...
by David Schwartz J.D. CPA | Feb 17, 2014 | All, Change Overview and Rationale, Formal Regulatory Remedies
Creating a system of enhanced monitoring of systematic risk and supervision of systematically important financial institutions (SIFIs) is a key objective of global regulatory reform in the aftermath of the financial crisis. Having established criteria for determining...
by David Schwartz J.D. CPA | Jan 30, 2014 | All, Change Overview and Rationale, Formal Regulatory Remedies
On January 29, 2014, the European Commission issued its long awaited proposal for the establishment of a central database for Secured Financing Transactions. This release is a part of a larger regulatory effort aimed at increasing the transparency of certain...
