Article Filter

Federal Reserve Board Reports on Comprehensive Capital Analysis and Review

The Comprehensive Capital Analysis and Review involved the Federal Reserve Board’s forward looking evaluation of the internal capital planning processes of large, complex bank holding companies and their proposals to undertake capital actions in 2011, such as increasing dividend payments or repurch
Originally Published: 
Friday, March 18, 2011

FSA Speech on Creating the Financial Conduct Authority

The chief executive of the Financial Services Authority ("FSA"), Hector Sants has given a speech in which he discusses the FSA’s current thinking with regard to the regulatory philosophy in which the Financial Conduct Authority ("FCA") will be created, including: the consumer pro
Originally Published: 
Wednesday, March 2, 2011

The Limits of EU Hedge Fund Regulation

Awrey, Dan. The Limits of EU Hedge Fund Regulation. Law and Financial Markets Review, Vol. 5, No. 2, Mar 2011: 119-128. Availability: <http://search.informit.com.au/documentSummary;dn=824659023093775;res=IELBUS>
Originally Published: 
Tuesday, March 1, 2011

Implementation of the IOSCO Credit Rating Agencies Principles

The purpose of the report was to evaluate, in light of the 2003 IOSCO Principles Regarding the Activities of Credit Rating Agencies, several of the recent regulatory initiatives that impact or will shortly impact credit rating agencies whose ratings are used for regulatory purposes in multiple juris
Originally Published: 
Thursday, February 24, 2011

IOSCO Discussion Paper on Mitigating Systemic Risk

The International Organisation of Securities Commissions has released a paper which aims to promote discussion among regulators on the ways systemic risk comes under their mandates, and to give them insights into how they can identify, monitor, mitigate and manage systemic risk.
Originally Published: 
Thursday, February 24, 2011

IOSCO Report on the Trading of OTC Derivatives

The International Organisation of Securities Commissions has released a report which analyses the trading of over-the-counter derivatives.
Originally Published: 
Friday, February 18, 2011

SEC Releases Study on Enhancing Investment Adviser Examinations

Section 914 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 mandates that the Securities and Exchange Commission conduct a study to review and analyze the need for enhanced examination and enforcement resources for investment advisers.
Originally Published: 
Wednesday, January 19, 2011

Pages