by David Schwartz J.D. CPA | Apr 19, 2012 | All, Change Overview and Rationale, Formal Regulatory Remedies
In his October 10, 2012 remarks at the University of Pennsylvania Law School, Federal Reserve Board Governor, Daniel K Tarullo, criticized Dodd-Frank sharply for missing the mark in a number of vital ways in its framework for ensuring financial stability. Tarullo... 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, Formal Regulatory Remedies
CFTC Chairman, Gary Gensler, says he believes that the days of the opaque swaps market are ending and a new era of transparency and commonsense rules of the road is on the horizon. Gensler’s October 10, 2012 address before the George Washington University Center...
