by David Schwartz J.D. CPA | Sep 26, 2016 | All, Formal Regulatory Remedies
In a 65-page comment letter responding to the Financial Stability Board’s (“FSB”) June 22, 2016 consultation paper, “Proposed Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities,” SIFMA vigorously championed...
by David Schwartz J.D. CPA | Aug 24, 2016 | All, Formal Regulatory Remedies
In a June 28, 2016 address in London, Andrew J. Donohue, Chief of Staff at the U.S. Securities and Exchange Commission, gave his perspective on the expanding intersection between U.S. securities regulation and the global securities community. The past few decades have...
by David Schwartz J.D. CPA | Jun 25, 2016 | All, Change Overview and Rationale, Formal Regulatory Remedies
On June 22, 2016, the Financial Stability Board (FSB) published a consultation paper proposing a framework to address four areas it sees as structural vulnerabilities from asset management activities that could potentially present financial stability risks. The...
by David Schwartz J.D. CPA | Jun 19, 2016 | All, Change Overview and Rationale, Formal Regulatory Remedies
As a companion to the SEC’s recent proposed rules on the use of derivatives by registered investment companies, the SEC’s Office of Risk Analysis has published a white paper studying just how funds use derivatives. Based on data from Forms N-CSR and N-SAR supplemented...
by David Schwartz J.D. CPA | May 19, 2016 | All, Change Overview and Rationale, Formal Regulatory Remedies
On December 22, 2015, the Securities and Exchange Commission left a present in all our stockings with its publication of a 208-page advanced notice of proposed rule making and concept release on the regulation of transfer agents. Modernizing the aging rules for...
