Jim Hamiltons World of Securities Regulation

Jim Hamiltons World of Securities Regulation Archive for November, 2010

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2010-11-30 20:00		Jim Hamilton's World of Securities Regulation - Toyko Stock Exchange Adopts Corporate Governance Principles for Listed Companies
2010-11-30 11:00		Jim Hamilton's World of Securities Regulation - Kansas Seeks Public Comments on Exemption for Private Fund Advisers
2010-11-29 21:00		Jim Hamilton's World of Securities Regulation - CFTC Chair Says No Going Back to Originate and Hold World of It's a Wonderful Life
2010-11-28 17:30		Jim Hamilton's World of Securities Regulation - ABA Asks SEC to Follow Legislative History When Adopting Securitization Conflict of Interest Regulations
2010-11-27 20:00		Jim Hamilton's World of Securities Regulation - UK Will Allow Tax Transparent Funds to Take Advantage of Master-Feeder Structures under UCITS IV Directive
2010-11-27 05:30		Jim Hamilton's World of Securities Regulation - Senate Extenders Legislation Contains Carried Interest Provision with Impact Beyond Hedge Fund Managers
2010-11-26 19:30		Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Seeks Fair Market Valuation for Securities in Dodd-Frank Liquidation Authority
2010-11-25 16:00		Jim Hamilton's World of Securities Regulation - Bachus Asks for SEC-Like Transparency in Setting Up Bureau of Consumer Financial Protection
2010-11-25 03:30		Jim Hamilton's World of Securities Regulation - UK Supreme Court Explains Fiduciary Duty Limits of De Facto Directors
2010-11-24 21:00		Jim Hamilton's World of Securities Regulation - UK Financial Minister Hails Passage of Non-Protectionist Legislation Regulating Hedge Funds
2010-11-24 15:30		Jim Hamilton's World of Securities Regulation - Florida Adopts Discliplinary Guidelines for Dealers, Investment Advisers and Associated Persons
2010-11-24 00:30		Jim Hamilton's World of Securities Regulation - Securities Industry Urges Supreme Court to Apply FRCP Rule 9(b) Standard to Materiality Element of Rule 10b-5
2010-11-23 21:00		Jim Hamilton's World of Securities Regulation - FSOC Issues ANPR in Effort to Determine Which Securities Clearance and Settlement Utilities Are Systemically Important
2010-11-23 19:00		Jim Hamilton's World of Securities Regulation - Chinese Auditing Standards Board Is in Full Convergence with International Financial Auditing Standards
2010-11-23 18:30		Jim Hamilton's World of Securities Regulation - Securities Industry Seeks Nuanced Approach to Uniform Federal Fiduciary Standard for Advisers and Brokers
2010-11-23 12:30		Jim Hamilton's World of Securities Regulation - Indiana Extends Deadline for Filing New Part 2 of Form ADV
2010-11-22 17:00		Jim Hamilton's World of Securities Regulation - Ohio Sets Forth Policy on IAs Filing New Part 2 of Form ADV
2010-11-22 13:30		Jim Hamilton's World of Securities Regulation - TEXAS Does Not Adopt But Encourages IAs to Use New Part 2 of Form ADV
2010-11-21 21:30		Jim Hamilton's World of Securities Regulation - ether a plaintiff can state a claim unde...
2010-11-20 22:30		Jim Hamilton's World of Securities Regulation - UK Corporate Governance Regulator Updates Guidance for Audit Committees in Light of Financial Crisis
2010-11-20 00:30		Jim Hamilton's World of Securities Regulation - nder the proposed rules, advisers to pri...
2010-11-18 18:00		Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Urges Flexible Volcker Regulations on Market Making and Feeder Funds
2010-11-17 21:30		Jim Hamilton's World of Securities Regulation - Jim Hamilton's World of Securities Regulation
2010-11-17 18:30		Jim Hamilton's World of Securities Regulation - Treasury Official Outlines Role for Office of Financial Research
2010-11-17 17:00		Jim Hamilton's World of Securities Regulation - 2 new articles
2010-11-17 16:30		Jim Hamilton's World of Securities Regulation - Colorado Adopts BD, Sales Rep. and IA/IAR Rule Amendments
2010-11-15 21:30		Jim Hamilton's World of Securities Regulation - FINRA Provides Data on Dual Registants in Aid of SEC Dodd-Frank Study
2010-11-13 20:00		Jim Hamilton's World of Securities Regulation - Group Urges Securitization Exemption from Volcker Rule
2010-11-12 13:30		Jim Hamilton's World of Securities Regulation - G-20 Calls for Globally Consistent Regulation of Hedge Funds and Derivatives and Coordinated Resolution Authorities to End Too Big to Fail
2010-11-12 11:00		Jim Hamilton's World of Securities Regulation - Concerns Voiced Over International Impact of Volcker Rule
2010-11-12 10:30		Jim Hamilton's World of Securities Regulation - NYU Professor Says Federal Financial Regulators Should Adopt IRS Model in Monitoring Volcker Rule
2010-11-11 19:30		Jim Hamilton's World of Securities Regulation - European Parliament Approves Legislation Regulating Hedge Funds and Private Equity Funds
2010-11-11 14:30		Jim Hamilton's World of Securities Regulation - Volcker Urges SEC to Use Dodd-Frank's Anti-Evasive Authority to Thwart Attempts to Evade Ban on Proprietary Trading and Hedge Fund Sponsoring
2010-11-10 21:30		Jim Hamilton's World of Securities Regulation - Bowles-Simpson Commission Calls for Major Overhaul of Federal Tax Code
2010-11-10 20:00		Jim Hamilton's World of Securities Regulation - Federal Court Limits Sarbanes-Oxley Protection to PCAOB-Auditor Documents Prepared Specifically for the Board
2010-11-10 12:00		Jim Hamilton's World of Securities Regulation - 2 new articles
2010-11-09 14:00		Jim Hamilton's World of Securities Regulation - Senator Harkin Explains Insurance Exemption from Volcker Rule in Letter to SEC and Urges Regulators to Prevent Hedges from Masking Proprietary Trades
2010-11-09 12:00		Jim Hamilton's World of Securities Regulation - Iowa Adopts Broker-Dealer, Agent and Investment Company Rule Changes
2010-11-09 07:30		Jim Hamilton's World of Securities Regulation - 2 new articles
2010-11-08 20:30		Jim Hamilton's World of Securities Regulation - FINRA Urges SEC to Create SRO for Investment Advisers Amid Fierce Debate Spurred by Dodd-Frank Study
2010-11-08 18:00		Jim Hamilton's World of Securities Regulation - American Bankers Association Urges Regulators Not to Read Volcker Rule Definitions of Hedge Fund and Sponsor Too Broadly
2010-11-08 17:00		Jim Hamilton's World of Securities Regulation - Big Four Audit Firms Believe that PCAOB's Proposed Confirmation Standard is Overly Prescriptive and Downplays Professional Judgment
2010-11-07 00:00		Jim Hamilton's World of Securities Regulation - Incoming Ways and Means Chair Supports Reform of Tax Code Provisions for Investment Companies
2010-11-06 23:00		Jim Hamilton's World of Securities Regulation - Global Audit Firms Believe that PCAOB's Proposed Confirmation Standard is Overly Prescriptive and Downplays Professional Judgment
2010-11-05 20:30		Jim Hamilton's World of Securities Regulation - SEC Urges Supreme Court to Hold that Investment Adviser Could Be Liable for Misstatements in the Prospectuses of Funds It Manages
2010-11-05 18:00		Jim Hamilton's World of Securities Regulation - IFRS Foundation Trustees Look to Second Decade with Request for Comments on Strategy
2010-11-05 13:30		Jim Hamilton's World of Securities Regulation - Missouri Clarifies FINRA Applicable Exam Requirement for Issuer-Agents
2010-11-04 19:00		Jim Hamilton's World of Securities Regulation - Incoming House Financial Services Chair Cautions that Volcker Rules Will Not Be Harmonized in the EU, Disadvantaging US Firms
2010-11-04 13:00		Jim Hamilton's World of Securities Regulation - Colorado Reduces Licensing Fees for BDs, Sales Reps., IAs and IARs
2010-11-03 07:30		Jim Hamilton's World of Securities Regulation - Financial Reform Legislation Still Possible in 112th Congress with Republican House
2010-11-02 11:30		Jim Hamilton's World of Securities Regulation - Post-Roundtable Comments on PCAOB's Proposed Standard on Auditor-Audit Committee Communications Caution Against Checklist Approach
2010-11-01 21:00		Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Comments to SEC on Host of Commission Initiatives under Dodd-Frank
2010-11-01 17:30		Jim Hamilton's World of Securities Regulation - SEC Issues Progress Report on IFRS Incorporation Work Plan for U.S. Issuers
2010-11-01 13:30		Jim Hamilton's World of Securities Regulation - EU Court of Justice Rules Internal Company Communications With in-House Lawyers Not Covered by Legal Professional Privilege
2010-11-01 09:00		Jim Hamilton's World of Securities Regulation - Geithner and Barnier Pledge Non-Protectionist Hedge Fund Legislation and Harmonized Derivatives Regulations

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