by David Schwartz J.D. CPA | Dec 29, 2021 | All, Formal Regulatory Remedies
The European Commission has reached agreement with legislators and financial trade groups on a digitized infrastructure to reshape the EU and, by extension, the global securities markets. The resolution affects all transactions involving EU securities, including...
by David Schwartz J.D. CPA | Dec 12, 2021 | All, Commentary, Cross-Post, Disclosure Regimes
Finding a Better Value Proposition for the SEC’s Sec Lending Disclosure Rule The SEC has proposed a radical and potentially very costly reporting regime for securities finance transactions to increase transparency “to brokers, dealers, and...
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...
