by David Schwartz J.D. CPA | Sep 22, 2015 | All, Change Overview and Rationale, Formal Regulatory Remedies
Since the liquidity freeze during the financial crisis, liquidity risk management has been a concern to regulators thorughout the financial industry. Last week, the the SEC proposed new rules addressing liquidity management in open end funds and the Financial Industry...
by David Schwartz J.D. CPA | Dec 19, 2014 | All, Change Overview and Rationale, Formal Regulatory Remedies
With the Dodd-Frank Wall Street Reform and Consumer Protection Act having just celebrated its fourth birthday, where exactly are we in the the reform of our seemingly ever-evolving regulatory framework? In a recent paper, Dan Ryan, Chairman of the Financial Services...
by David Schwartz J.D. CPA | Jul 30, 2013 | All, Formal Regulatory Remedies
The Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency have issued a request for comments on supervisory expectations for stress tests conducted by medium-sized financial...
by David Schwartz J.D. CPA | Nov 27, 2012 | All
On November 5, 2012, the Federal Reserve Board (the “Fed”) issued instructions and guidelines for two 2013 stress testing and capital planning programs. Based on similar programs instituted in 2012, the Comprehensive Capital Analysis and Review 2013 describes...
by David Schwartz J.D. CPA | May 17, 2012 | All, Formal Regulatory Remedies
The Federal Reserve Board, Federal Deposit Insurance Corporation, and the Office of the Comptroller of Currency have issued definitive guidance on supervisory expectations for stress testing by banking organizations with more than $10 billion in total consolidated...
