Click a link below to view the mailing archive as if it had been sent to you. . 2011-04-30 19:30 Jim Hamilton's World of Securities Regulation - European Commission Investigates Possible Antitrust Violations in Derivatives while US Engages in Watchful ...
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Jim Hamiltons World of Securities Regulation Archive for April, 2011

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2011-04-30 19:30Jim Hamilton's World of Securities Regulation - European Commission Investigates Possible Antitrust Violations in Derivatives while US Engages in Watchful Waiting
2011-04-29 18:30Jim Hamilton's World of Securities Regulation - Treasury Exempts Foreign Exchange Swaps from Dodd-Frank Derivatives Regime
2011-04-29 11:00Jim Hamilton's World of Securities Regulation - Private Equity Funds Bid for Representation on Compensation Committees in Wake of Dodd-Frank
2011-04-28 22:00Jim Hamilton's World of Securities Regulation - Company Director Cannot Delegate Due Diligence to Lawyers on the Board Says Singapore High Court
2011-04-28 16:30Jim Hamilton's World of Securities Regulation - Supreme Court Ruling Continues Strong Federal Policy Favoring Arbitration
2011-04-28 11:30Jim Hamilton's World of Securities Regulation - Massachusetts Proposes Private Adviser Exemption to Coordinate with Dodd-Frank Act
2011-04-27 19:30Jim Hamilton's World of Securities Regulation - Fund Directors Forum Says Stripping Credit References from Money Market Fund Rule is Bad Policy
2011-04-27 08:30Jim Hamilton's World of Securities Regulation - Sen. Wicker Concerned that Proposed Risk Retention Regulations May Prevent Return of Private Capital
2011-04-26 16:00Jim Hamilton's World of Securities Regulation - Banking Industry Tells Congress of Concerns over Proposed Risk Retention Regulations
2011-04-26 10:00Jim Hamilton's World of Securities Regulation - Sen. Schumer Questions Job Loss Impact of NYSE Takeover
2011-04-25 17:30Jim Hamilton's World of Securities Regulation - Supreme Court Hears Oral Argument in Role of Loss Causation in Class Certification Case
2011-04-23 22:30Jim Hamilton's World of Securities Regulation - Secretary Geithner Due to Respond This Week to Senator Hatch's Regulatory Arbitrage Concerns
2011-04-22 22:00Jim Hamilton's World of Securities Regulation - SEC Study Finds 404(b) Not Chilling IPOs among Issuers with $75 to $250 Million Float
2011-04-22 18:30Jim Hamilton's World of Securities Regulation - Kentucky Proposes Amendments to IA Post-Licensing Requirements
2011-04-21 18:30Jim Hamilton's World of Securities Regulation - Chairman Bachus Says Dodd-Frank Rulemakaking Going too Fast
2011-04-20 19:30Jim Hamilton's World of Securities Regulation - New Democrats Caution SEC and CFTC to Avoid Regulatory Arbitrage in Implementing the Derivatives Provisions of Dodd-Frank
2011-04-20 12:30Jim Hamilton's World of Securities Regulation - Dodd-Frank Act Will Dominate House Financial Services Committee Agenda This Year
2011-04-19 21:30Jim Hamilton's World of Securities Regulation - NASAA Requests Comments on Revisions to Proposed Custody Rule
2011-04-19 19:30Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Suggests to SEC an Alternative to Credit Ratings for Form S-3 Criteria
2011-04-19 15:00Jim Hamilton's World of Securities Regulation - A Report of the CFTC Inspector General Finds Perilous Cost-Benefit Analysis of Dodd-Frank Derivatives Rulemaking
2011-04-19 11:30Jim Hamilton's World of Securities Regulation - Leading House Republican Urges SEC to Drop 20% Down Payment Requirement from Proposed Risk Retention Rules
2011-04-18 21:30Jim Hamilton's World of Securities Regulation - UK Authorities Propose Major Legislative Changes to UK Covered Bond Regime
2011-04-18 19:00Jim Hamilton's World of Securities Regulation - European Accountants Federation Comments on Proposals to Improve Audit and Quality of Financial Reporting
2011-04-18 16:30Jim Hamilton's World of Securities Regulation - SEC Likely to Delay until 1Q 2012 Registration of Hedge Fund and Private Equity Fund Advisers, and Mid-Size Advisers Switching to State Regulation
2011-04-18 13:30Jim Hamilton's World of Securities Regulation - Canadian Supreme Court Hears Arguments on a Federal Securities Code for Canada
2011-04-17 15:30Jim Hamilton's World of Securities Regulation - Key Senators Urge SEC to Prohibit Executive Hedging as Part of Dodd-Frank Incentive Compensation Regulations
2011-04-17 13:30Jim Hamilton's World of Securities Regulation - SEC Senior Staff Assure Foreign Private Issuers using IFRS that XBRL Can Await SEC Posting of IFRS Taxonomy
2011-04-16 18:30Jim Hamilton's World of Securities Regulation - Securities and Derivatives Industry Ask CFTC to Rethink Swap Valuation Proposals and Create Safe Harbor for Documentation of Use of End-User Exception
2011-04-16 15:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Asks SEC and CFTC to Make Reporting for Fund Managers and CTAs Semi-Annual
2011-04-15 19:00Jim Hamilton's World of Securities Regulation - House Oversight Chairs Introduce Legislation Extending Deadline for SEC-CFTC Implementation of Dodd-Frank
2011-04-15 13:30Jim Hamilton's World of Securities Regulation - Senate Report Urges SEC to Rank Accuracy of Credit Rating Agencies
2011-04-14 20:30Jim Hamilton's World of Securities Regulation - House Hearings on Risk Retention Proposal Reveal Concern over GSE Exemption and Scope of Qualified Residential Mortgage Carve Out
2011-04-14 15:30Jim Hamilton's World of Securities Regulation - Colorado Requires Currently Licensed IAs to Convert Form ADV Part II to New Part 2
2011-04-14 13:00Jim Hamilton's World of Securities Regulation - UK Official Outlines Adoption of Regulations under Hedge Fund Directive
2011-04-14 11:00Jim Hamilton's World of Securities Regulation - Hawaii Sets Forth Time-Table for Filing New Part 2 of Form ADV
2011-04-13 17:30Jim Hamilton's World of Securities Regulation - Washington Sets Forth Form ADV Part 2 Client Delivery Requirement
2011-04-13 15:00Jim Hamilton's World of Securities Regulation - Fed Governor Says List of Hedge Funds and Mutual Funds Deemed Systemically Important under Dodd-Frank Should Be a Short One
2011-04-13 12:00Jim Hamilton's World of Securities Regulation - Senate Hearings on Implementation of Dodd-Frank Derivatives Title Focus on End Users and Global Consistency of Regulations
2011-04-13 09:00Jim Hamilton's World of Securities Regulation - Senator Hagan Will Work with SEC and Federal Banking Agencies on Proposed Risk Retention Regulations
2011-04-11 18:30Jim Hamilton's World of Securities Regulation - Key Senator Calls for Delay of Dodd-Frank Implementation until Assured of Global Regulatory Harmonization
2011-04-11 13:30Jim Hamilton's World of Securities Regulation - In Bow to Volcker Rule, UK Commission Recommends Ring-Fencing a Financial Institution's Retail Banking Activities from Investment Banking
2011-04-09 15:30Jim Hamilton's World of Securities Regulation - Exclusionary Discretion in SEC Proposed Swap Execution Facilities Concerns Hedge Fund Industry
2011-04-08 18:00Jim Hamilton's World of Securities Regulation - SEC Chair Responds to Rep. Issa's Query on Efficacy of Going Public Regulations
2011-04-08 13:30Jim Hamilton's World of Securities Regulation - Securities Industry Asks CFTC to Delay Rules on Position Limits for Derivatives
2011-04-07 17:00Jim Hamilton's World of Securities Regulation - Texas Sets Forth Procedures for IAs to Switch Advisory Status from Federal to State
2011-04-07 16:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Troubled by CFTC Proposed Position Limits on Derivatives Regulations under Dodd-Frank
2011-04-07 13:00Jim Hamilton's World of Securities Regulation - Congressional Oversight Chairs Urge SEC and CFTC to Adopt Broad End-User Exemptions
2011-04-06 18:30Jim Hamilton's World of Securities Regulation - IRS Clarifies Policy of Restraint in Discovering Tax Accrual Work Papers Used By Companies in Preparing Financial Statements
2011-04-06 15:00Jim Hamilton's World of Securities Regulation - Senate Hearings Examine Role of Accounting and Auditing in Financial Crisis
2011-04-05 13:00Jim Hamilton's World of Securities Regulation - European Commission Considers Historic Change in Corporate Governance Oversight and Use of Comply or Explain
2011-04-05 11:00Jim Hamilton's World of Securities Regulation - Regulation Determining When Hedge Fund is Systemically Significant under Dodd-Frank Should Adjust for Inflation
2011-04-04 18:00Jim Hamilton's World of Securities Regulation - Financial Stability Board Reports on Progress in Achieving Harmonized Cross-Border Derivatives and Hedge Fund Regulation
2011-04-04 15:00Jim Hamilton's World of Securities Regulation - European Corporate Governance Forum Proposes Guidelines for Related Party Transactions
2011-04-04 14:00Jim Hamilton's World of Securities Regulation - Securities and Futures Commission CEO Details Hong Kong's Globally Consistent Hedge Fund and Derivatives Regulation
2011-04-04 07:30Jim Hamilton's World of Securities Regulation - Supreme Court Denies Cert in Rule 10b-5 Case Despite Plea from former SEC Commissioners to End Split in Circuits
2011-04-03 17:00Jim Hamilton's World of Securities Regulation - Investors Stated Securities Fraud Claim Against Outside Auditor that Allegedly Ignored Red Flags
2011-04-03 15:00Jim Hamilton's World of Securities Regulation - UK FSA Official Cautions CFTC that Capital Thresholds in Derivatives Clearing Organizations Regulations May Increase Risk
2011-04-02 18:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Urges Gradual Phase-In of Dodd-Frank Derivatives Regulations Rather Than a Big Bang Approach
2011-04-02 13:30Jim Hamilton's World of Securities Regulation - Bank for International Settlements Asks SEC and CFTC for Exemption from Derivatives Title of Dodd-Frank
2011-04-01 21:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Says SEC's Proposed Antifraud Rule for Security-Based Swaps Would Suppress Legitimate Trading
2011-04-01 19:00Jim Hamilton's World of Securities Regulation - UK Parliamentary Committee Examines Measures to Deal with Auditor Concentration
2011-04-01 17:00Jim Hamilton's World of Securities Regulation - Florida Sets Forth Procedures for IAs to Switch Advisory Status From Federal to State
2011-04-01 15:30Jim Hamilton's World of Securities Regulation - Securities Industry Asks IRS for Comfort in Complying with Derivatives Provisions of Dodd-Frank

 

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