by David Schwartz J.D. CPA, Executive Director | Nov 18, 2011 | All, Formal Regulatory Remedies, Procedural Changes
Institutional Shareholder Services Inc. (ISS) has published the 2012 updates to its US and international corporate governance policies. These guidelines are applicable to shareholder meetings held on or after February 1, 2012. Given the attention regulators and...
by David Schwartz J.D. CPA, Executive Director | Oct 28, 2011 | All, Change Overview and Rationale, Disclosure Regimes
In a forthcoming article in the Vanderbilt Law Review, Robert P Bartlett III, Assistant Professor of Law at the University of California, Berkeley, proposes a disclosure regime designed to enhance accurate pricing of a bank’s exposure to credit risk while at the...
by David Schwartz J.D. CPA, Executive Director | Oct 28, 2011 | All, Change Overview and Rationale, Procedural Changes
In his October 6, 2011 testimony before the before the US Congress’s Committee on Banking, Housing, and Urban Affairs, Treasury Secretary Timothy F. Geithner made it clear that shadow banking remains an an area of great concern on his regulatory agenda. Geithner...
by David Schwartz J.D. CPA, Executive Director | Oct 12, 2011 | All, Change Overview and Rationale, Formal Regulatory Remedies, Procedural Changes
For the most part, provisions of the Dodd–Frank Wall Street Reform and Consumer Protection Act (Pub. L. No. 111-203, H.R. 4173 (the Act) relating to derivatives are aimed at increasing transparency, altering clearing and exchange trading requirements, regulation of...
by David Schwartz J.D. CPA, Executive Director | Sep 22, 2011 | All, Change Overview and Rationale, Disclosure Regimes
In their Quarterly Bulletin (Q3 2011), the Bank of England (BOE) examines the lessons the financial crisis revealed in the securities lending industry, as well as some of the more recent market driven and regulatory developments emerging to mitigate these risks. In...
