by David Schwartz J.D. CPA, Executive Director | 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, Executive Director | 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, Executive Director | 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...
by David Schwartz J.D. CPA, Executive Director | Mar 19, 2012 | All, Formal Regulatory Remedies
John C. Coates IV, professor of law and economics at Harvard Law School, testified before the U.S. Senate Subcommittee on Securities, Insurance and Investment on December 14. In his testimony, Professor Coates took up three themes related to pending proposals to...
by David Schwartz J.D. CPA, Executive Director | 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...
