by David Schwartz J.D. CPA | Apr 20, 2016 | All, Change Overview and Rationale, Formal Regulatory Remedies
In their April 16, 2016 report, Review of Asset Management Products and Activities, the Financial Stability Oversight Council (FSOC) requested that regulators make coordinated and permanent efforts to collect more data on securities lending. Noting that that current...
by David Schwartz J.D. CPA | Apr 19, 2016 | All, Change Overview and Rationale
The Office of Financial Research released results of its survey of the bilateral repo markets. The report, “The U.S. Bilateral Repo Market: Lessons from a New Survey,” provides aggregate statistics on U.S. dealers’ bilateral repo agreements and...
by David Schwartz J.D. CPA | Apr 14, 2016 | All, Change Overview and Rationale, Formal Regulatory Remedies
In her March 29, 2016 keynote address before the Mutual Fund Directors Forum’s annual policy conference, SEC Chair Mary Jo White laid out some of her thoughts on the role of mutual fund directors in assessing risks and exercising their oversight responsibilities. In...
by David Schwartz J.D. CPA | Feb 28, 2016 | All, Change Overview and Rationale, Formal Regulatory Remedies
On February 10, 2016, the Securities and Exchange Commission approved final rules intended to ensure that both U.S. and foreign dealers are subject to U.S. regulation when they engage in security-based swap dealing activity in the United States. The new rules require...
by David Schwartz J.D. CPA | Feb 19, 2016 | All, Change Overview and Rationale, Formal Regulatory Remedies
SEC Chairman Mary Jo White used the occasion of her keynote speech a the September 21, 2016 International Bar Association’s annual conference to address some the challenges the Securities and Exchange Commission faces in regulating an ever more global asset management...
