by David Schwartz J.D. CPA | Nov 29, 2021 | All, Commentary, Cross-Post, Disclosure Regimes
The Securities and Exchange Commission (SEC) recently proposed a new reporting regime to increase transparency and efficiency in the securities-lending market. The SEC seeks to accomplish this by requiring anyone who loans a security on behalf of himself or another...
by David Schwartz J.D. CPA | Nov 20, 2021 | All, Cross-Post, Disclosure Regimes, Formal Regulatory Remedies
On November 18, 2021, the Securities and Exchange Commission (SEC) proposed broad disclosure rules intended to “provide transparency in the securities lending market.” As directed by the Dodd-Frank Act[1], the Commission proposed these rules to: Supplement...
by David Schwartz J.D. CPA | Nov 14, 2021 | All, Commentary, Cross-Post
How Data Trusts Can Transform Securities Finance. Certain challenges in securities finance can only be met with better data and newer data models. Market regulators now coping with investor demands for ESG-compliance will have to monitor the disclosures of regulated... by David Schwartz J.D. CPA | Oct 13, 2021 | All, Change Overview and Rationale, Cross-Post
The U.S. Labor Department (DOL) has proposed regulations that would greatly expand how retirement and pension plans can invest in ESG strategies and clarify the scope of ERISA plans’ responsibility for proxy voting. If adopted, the DOL’s proposal, drafted...
by David Schwartz J.D. CPA | Oct 12, 2021 | All, Cross-Post, Disclosure Regimes
The Securities and Exchange Commission issued a proposal to expand investment company disclosures of their proxy voting activities. If adopted, the rules would enhance the information mutual funds, exchange-traded funds, and other regulated investment companies are...
