by David Schwartz J.D. CPA | Apr 19, 2012 | All, Formal Regulatory Remedies
Citing the large volume of comments received in response to the proposed rules, on Nov. 9, 2012, the Federal Reserve Board, the OCC, and the FDIC announced in a joint release that proposed rules to implement the Basel III regulatory capital accords will not take... by David Schwartz J.D. CPA | Mar 29, 2012 | All, Formal Regulatory Remedies
A bi-partisan group of six Senators introduced a bill (S. 2223) on March 22 that would postpone the implementation of the Volcker Rule set for on July 2. Instead, S. 2223 links the effective date of the Volker Rule to the date regulators finish drafting their Volker...
by David Schwartz J.D. CPA | Mar 23, 2012 | All, Formal Regulatory Remedies
With all the legislative changes, additional required disclosures, say on pay and corporate governance issues percolating in the background, investors, companies, and investment managers are faced with a challenging 2012 proxy season. Today we alert you to two issues...
by David Schwartz J.D. CPA | Mar 20, 2012 | All, Formal Regulatory Remedies
Last week, the Technical Committee of the International Organization of Securities Commissions (IOSCO) issued a consultation paper on the distribution by intermediaries of complex financial products to retail and non-retail customers. The paper focuses on customer...
by David Schwartz J.D. CPA | Mar 19, 2012 | All
. . . a company must choose the most appropriate decision from the perspective of business management by accurately identifying the balance between the loss that would be incurred if business were to be halted by an earthquake and the cost for risk mitigation measures...
