Click a link below to view the mailing archive as if it had been sent to you. . 2011-08-31 19:00 Jim Hamilton's World of Securities Regulation - Chairman Bachus to SEC: It is Premature to Implement Dodd-Frank Sec. 913 on a Uniform Fiduciary Standard for ...
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Jim Hamiltons World of Securities Regulation Archive for August, 2011

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2011-08-31 19:00Jim Hamilton's World of Securities Regulation - Chairman Bachus to SEC: It is Premature to Implement Dodd-Frank Sec. 913 on a Uniform Fiduciary Standard for Brokers and Advisers
2011-08-31 13:00Jim Hamilton's World of Securities Regulation - SEC Issues Concept Release on 1940 Act Real Estate Structured Finance Exclusion
2011-08-31 12:00Jim Hamilton's World of Securities Regulation - SEC Questions Use of Credit Ratings in Rule Excluding Issuers of Asset-Backed Securities from 1940 Act
2011-08-31 11:30Jim Hamilton's World of Securities Regulation - SEC Will Use Concept Release as Part of Broad Review of Derivatives Use by Investment Companies
2011-08-30 20:00Jim Hamilton's World of Securities Regulation - Global Audit Firms Ask SEC for Guidance on Outside Audit of Dodd-Frank Mandated Conflict Minerals Report
2011-08-30 14:00Jim Hamilton's World of Securities Regulation - Bi-Partisan Group of House Members Urges SEC to Include Credit Scores in Dodd-Frank Risk Retention Regulations
2011-08-30 11:30Jim Hamilton's World of Securities Regulation - Hedge Fund Manager Owed Fiduciary Duty to Fund's Seed Investor Says Delaware Chancellor
2011-08-29 21:00Jim Hamilton's World of Securities Regulation - Majority Leader Says House Will Move Regulatory Reform Legislation This Year
2011-08-29 14:00Jim Hamilton's World of Securities Regulation - Council of Institutional Investors Urges Legislation Providing for Director Majority Voting to Complete what Dodd-Frank Began
2011-08-29 13:00Jim Hamilton's World of Securities Regulation - Federal Appeals Panel Says Company Statements on Goodwill Were Subjective Opinion and Could Not Support 1933 Act Claims
2011-08-29 11:00Jim Hamilton's World of Securities Regulation - Massachusetts Adds Performance-Based Fees and Investment Consulting Services to IA Unethical Practices and Increases BD/Agent Fees
2011-08-28 13:00Jim Hamilton's World of Securities Regulation - Corporate Tax Professionals Support SEC Staff Plan for IFRS Incorporation into US Financial Reporting
2011-08-27 16:30Jim Hamilton's World of Securities Regulation - Senate Legislation Would Expand Unfunded Mandates Reform Act to Bring SEC and CFTC Within Its Embrace
2011-08-26 21:00Jim Hamilton's World of Securities Regulation - Speaker Asks President for List of Regulations as House Prepares to Take Up Legislation Requiring Congressional Approval of Major Regulations
2011-08-26 18:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Supports SEC Proposal Raising Qualified Client Test
2011-08-25 19:00Jim Hamilton's World of Securities Regulation - Massachusetts Increases BD and Agent Fees
2011-08-25 14:00Jim Hamilton's World of Securities Regulation - Council of Institutional Investors Urges SEC to Seek En Banc Review of DC Circuit Panel Proxy Access Ruling
2011-08-25 12:00Jim Hamilton's World of Securities Regulation - IRS Finalizes Schedule UTP Requiring Companies to Report Uncertain Tax Positions; Expands Policy of Restraint
2011-08-24 19:00Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Urges Gradual Phase-In of SEC Conflict Minerals Disclosure Regulations
2011-08-24 12:30Jim Hamilton's World of Securities Regulation - Corporate Secretaries Int'l Assoc. Sets Forth Twenty Principles for Better Corporate Governance
2011-08-23 22:00Jim Hamilton's World of Securities Regulation - Int'l Institute Emphasizes Need for Consistent High-Quality Global Accounting Standards in Letter to SEC
2011-08-23 20:00Jim Hamilton's World of Securities Regulation - Hong Kong Court Upholds Insider Trading Conviction
2011-08-23 19:30Jim Hamilton's World of Securities Regulation - UK Tribunal Upholds FSA Decision to Ban Hedge Fund Managers for Deceiving Investors and Market Abuse
2011-08-23 12:00Jim Hamilton's World of Securities Regulation - 2 new articles
2011-08-22 21:00Jim Hamilton's World of Securities Regulation - House Legislation Would Require Global Companies to Disclose to SEC Measures Dealing With Forced and Child Labor in Their Supply Chains
2011-08-22 15:00Jim Hamilton's World of Securities Regulation - Comm. Barnier Says European Commission Will Propose Legislation in November Possibly Mandating Audit Firm Rotation; Pure Audit Firm Being Explored
2011-08-22 12:30Jim Hamilton's World of Securities Regulation - Net Investment Method Should Not Be Used in Stanford Alleged Ponzi Scheme Says Securities Industry Group
2011-08-21 14:30Jim Hamilton's World of Securities Regulation - Head of Corporate Secretaries Int'l Assoc. Sees Converging Global Corporate Governance Practices
2011-08-21 13:00Jim Hamilton's World of Securities Regulation - Hedge Fund Association Favors Complete Legal Segregation Model to Protect Cleared Swap Customer Collateral
2011-08-20 19:30Jim Hamilton's World of Securities Regulation - In Letter to SEC and CFTC, Hedge Fund Industry Asks for Exclusion of Loan Participations from Swap Definition, Sees Adverse Impact on EU
2011-08-19 19:30Jim Hamilton's World of Securities Regulation - US Hedge Fund Industry Urges EU to Reconsider Short Selling Restrictions
2011-08-19 17:00Jim Hamilton's World of Securities Regulation - Franco-German Leaders Endorse Secondary Market Intervention to Preserve Stability and Rating Agency Reform
2011-08-17 18:30Jim Hamilton's World of Securities Regulation - Senator Grassley Asks SEC to Respond to Allegations of Case-Related Document Destruction
2011-08-17 13:30Jim Hamilton's World of Securities Regulation - Federal Appeals Court Approves Net Investment Method used by Madoff Trustee in SIPA Liquidation
2011-08-16 19:30Jim Hamilton's World of Securities Regulation - Int'l Corporate Governance Group Praises SEC Rulemaking Petition on Disclosure of Corporate Political Spending
2011-08-16 18:30Jim Hamilton's World of Securities Regulation - Corporate Secretaries Int'l Endorse Comply or Explain Approach to Corporate Governance in Comments on EU Green Paper
2011-08-16 11:30Jim Hamilton's World of Securities Regulation - Applying Spanish Law and Citing Internal Affairs Doctrine, Delaware Chancery Court Dismisses Derivative Action
2011-08-15 19:30Jim Hamilton's World of Securities Regulation - Banking and Securities Groups Ask SEC and Bank Regulators to Re-Propose Dodd-Frank Risk Retention Regulations
2011-08-15 18:00Jim Hamilton's World of Securities Regulation - UK Supreme Court Rules that NY Hedge Fund Affiliate Can Bring Action against Argentina for Sovereign Debt Default
2011-08-15 17:00Jim Hamilton's World of Securities Regulation - Texas Proposes Amendment to the Reexamination Waiver for Dealer Principal, Agent and IA Rep. Applicants
2011-08-15 13:00Jim Hamilton's World of Securities Regulation - Texas Adopts Application Filing and Fee Amendments for Dealer/Investment Adviser Designated Officers
2011-08-15 11:30Jim Hamilton's World of Securities Regulation - Citing Morrison Opinion, Federal Judge Rules that Japanese Law Claims Cannot Piggyback on to Rule 10b-5 Claims
2011-08-15 11:00Jim Hamilton's World of Securities Regulation - Big Four Audit Firms Urge IAASB to Take Holistic View of Disclosures Around Audits of Financial Statements
2011-08-14 13:30Jim Hamilton's World of Securities Regulation - Fair Valuation of Assets under Management Is Key Element of SEC Regime for Hedge Fund and Private Fund Advisers
2011-08-12 19:00Jim Hamilton's World of Securities Regulation - FSOC to Propose Additional Guidance on Designating Hedge Funds and Other Non-Bank Financial Institutions for Heightened Regulation
2011-08-12 17:00Jim Hamilton's World of Securities Regulation - Academic Study Explores Relationship between FIN 48 Financial Reporting and IRS Compliance Assurance Process
2011-08-12 13:30Jim Hamilton's World of Securities Regulation - SEC Launches Office of the Whistleblower Website, New Chief Examines Whistleblower Rules
2011-08-11 15:00Jim Hamilton's World of Securities Regulation - Legislation Would Amend Proxy and Reporting Requirements Around Shareholder Approval of Company Expenditures on Political Activities
2011-08-11 12:30Jim Hamilton's World of Securities Regulation - Key Senator Urges SEC to Adopt Regulations Requiring Audit Certification of Rating Agency Internal Controls
2011-08-09 20:00Jim Hamilton's World of Securities Regulation - Int'l Forum of Audit Regulators Issues Core Principles of Audit Oversight
2011-08-09 19:00Jim Hamilton's World of Securities Regulation - PCAOB Member Goelzer Details International Outreach at Global Forum
2011-08-09 14:30Jim Hamilton's World of Securities Regulation - South Dakota Proposes Amendment to IA Private Adviser Exemption
2011-08-09 13:30Jim Hamilton's World of Securities Regulation - In Comments to SEC, Foreign Governments Oppose Extraterritorial Application of US Securities Regulations and Praise Morrison Ruling
2011-08-09 11:30Jim Hamilton's World of Securities Regulation - Ashley Alder to Replace Martin Wheatley as CEO of Hong Kong Securities and Futures Commission
2011-08-08 19:30Jim Hamilton's World of Securities Regulation - US Representative Clarifies Legislative Intent of FATCA IRS-Foreign Financial Institution Agreements
2011-08-08 17:30Jim Hamilton's World of Securities Regulation - Hong Kong Securities and Futures Commission Urges More Diligence for Sponsors of Listing Applicants
2011-08-08 14:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-08-08 12:30Jim Hamilton's World of Securities Regulation - Global Accounting Firms Believe Agreed Upon Procedures Report Would Not Meet Objectives of Dodd-Frank Risk Retention Provisions
2011-08-07 15:30Jim Hamilton's World of Securities Regulation - UK Supreme Court Rules for Note Holders in Credit Derivatives Transactions Involving Lehman Entity
2011-08-06 15:30Jim Hamilton's World of Securities Regulation - Securities Industry Asks Second Circuit to Invoke Supreme Court Morrison Doctrine on Extraterritorial Application of US Securities Regulations
2011-08-05 14:30Jim Hamilton's World of Securities Regulation - House Legislation Would Change Dodd-Frank Whistleblower Provisions to Require Initial Internal Reporting
2011-08-04 20:30Jim Hamilton's World of Securities Regulation - House Legislation Would Broadly Restructure the SEC
2011-08-04 12:30Jim Hamilton's World of Securities Regulation - House Bi-Partisan Legislation Would Codify Derivatives End User Exemption
2011-08-03 20:30Jim Hamilton's World of Securities Regulation - Chairman Bachus Cautions that Dodd-Frank Derivatives Regulations Could Engender Regulatory Arbitrage
2011-08-03 11:30Jim Hamilton's World of Securities Regulation - NASAA Opposes Watering Down "Bad Actor" Prohibitions
2011-08-02 20:30Jim Hamilton's World of Securities Regulation - President Signs Budget Control Act Creating Joint Select Committee to Draft Deficit Reduction Legislation
2011-08-02 16:30Jim Hamilton's World of Securities Regulation - US Senators Seek Changes to Proposed Risk Retention Regulations to Reflect Intent of Dodd-Frank
2011-08-02 07:30Jim Hamilton's World of Securities Regulation - Senior White House Adviser Says Joint Select Committee Can Reform Federal Tax Code
2011-08-01 18:30Jim Hamilton's World of Securities Regulation - NASAA Mulls Repealing Policy on Health Care Facility Offerings
2011-08-01 18:00Jim Hamilton's World of Securities Regulation - Missouri Advisory Release Reminds Issuers of Conditions for Claiming Private Offering Exemption
2011-08-01 16:00Jim Hamilton's World of Securities Regulation - SEC-CFTC Roundtable Highlights Need for Cross-Border Coordination of Dodd-Frank Derivative Regulations
2011-08-01 11:00Jim Hamilton's World of Securities Regulation - IASB Chair Anticipates US Will Have National Endorsement Protocol for New and Amended IFRS

 

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