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Financial Services Authority Publishes Report on Possible Sources of Systemic Risk from Hedge Funds (Sept-Oct 2010)

The Financial Services Authority has published a report that set out the results from its latest Hedge Fund Survey (carried out in September 2010) and Hedge Fund as Counterparty Survey (carried out in October 2010).

Originally Published:

Monday, February 28, 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

FSA Solvency II: Internal Model Approval Process Thematic Review Findings

The Solvency II Directive allows firms to elect to calculate their Solvency Capital Requirement by using the standard formula, an internal model or a combination of the two.

Originally Published:

Monday, February 21, 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

Russia joins OECD Anti-Bribery Convention

Russia will become the 39th Party to the OECD Anti-Bribery Convention on 17 April 2012, 60 days after submitting its instrument of accession.

Originally Published:

Thursday, February 17, 2011

SEC Releases Study on Investor Access to Registration Information About Investment Advisers and Broker-Dealers

As required by section 919B of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission has published a staff study recommending steps to help investors better access information about investment professionals.

Originally Published:

Wednesday, January 26, 2011

SEC Study on Investment Advisers and Broker-Dealers

The Securities and Exchange Commission study, prepared pursuant to Section 913 of the Dodd-Frank Act, investigates the effectiveness of the standard of care required of broker-dealers and investment advisers that provide personalized investment advice regarding securities to retail customers.

Originally Published:

Friday, January 21, 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

Government Accountability Office Releases Report on the Role of the Governmental Accounting Standards Board in the Municipal Securities Markets

Section 978 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 mandated that the Government Accountability Office study the role of the Governmental Accounting Standards Board in the municipal securities markets.

Originally Published:

Wednesday, January 19, 2011

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