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Federal Reserve Board Report to Congress on Credit Ratings

Section 939A of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 requires each federal agency to review its regulations and identify any regulation that requires the use of an assessment of the creditworthiness of a security or money market instrument; and any references to or requ

Originally Published:

Monday, July 25, 2011

Government Accountability Office Reports on Securities Fraud Liability of Secondary Actors

This report responds to the mandate in section 929Z of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 directing Government Accountability Office to study the impact of authorizing a private legal right of action against any person who aids or abets another in violation of the sec

Originally Published:

Thursday, July 21, 2011

SEC Report on Review of Reliance on Credit Ratings

The Securities and Exchange Commission has issued its report on the reliance on credit ratings, as required by Section 939A(c) of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010.

Originally Published:

Thursday, July 21, 2011

IODSA Code for Responsible Investing in South Africa

The Institute of Directors for Southern Africa has issued The Code for Responsible Investing in South Africa which gives guidance on how the institutional investor should execute investment analysis and investment activities and exercise rights so as to promote sound governance.

Originally Published:

Tuesday, July 19, 2011

Financial Services Authority Guide to the European Union and its Legislative Processes

The Financial Services Authority has published a revised version of its brief guide to the European Union and its legislative process.

Originally Published:

Friday, July 15, 2011

Australian Corporations and Markets Advisory Committee Releases Information Paper on Executive Remuneration

The Corporations and Markets Advisory Committee has published an information paper on some of the approaches taken in Australia and internationally in respect of the regulation of executive remuneration arrangements, including the use and implications of various types of incentives and reporting on

Originally Published:

Thursday, July 14, 2011

Australian Corporations and Markets Advisory Committee Publishes Discussion Paper on Managed Investment Schemes

The Corporations and Markets Advisory Committee have released a discussion paper considering a range of matters concerning managed investment schemes.

Originally Published:

Thursday, June 30, 2011

SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

The Securities and Exchange Commission today voted to propose rules that would impose certain business conduct standards upon security-based swap dealers and major security-based swap participants when those parties engage in security-based swap transactions.

Originally Published:

Wednesday, June 29, 2011

UK Treasury Consults on a New Approach to Financial Regulation

The UK government has published its latest consultation document on regulatory reform, which includes a draft of the Financial Services Bill and explanatory notes and builds on the Government’s initial thinking set out last July and a further consultation document which followed in February 2011.

Originally Published:

Thursday, June 16, 2011

Speech by Chancellor of the Exchequer on Regulation of the UK Banking and Financial Services Industry

In his speech at the Lord Mayor’s dinner for bankers and merchants of the City of London, the Chancellor of the Exchequer, George Osborne MP, stated that the British economy is concerned with two key issues: (i) what the right culture of regulation is; and (ii) how international rules apply and wher

Originally Published:

Wednesday, June 15, 2011

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