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Jim Hamiltons World of Securities Regulation Archive for October, 2012

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2012-10-31 14:30Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Has Concerns with ISS Policy on Board Response to Majority-Approved Shareholder Proposals
2012-10-30 15:00Jim Hamilton's World of Securities Regulation - UK Central Banker Says Faithful Implementation of Volcker Rule and Vickers Proposals Can Enhance Resolution Authorities
2012-10-30 13:00Jim Hamilton's World of Securities Regulation - US Hedge Fund Industry Urges Basel-IOSCO Working Group to Consider Risk Management in Margin for Non-Centrally Cleared Derivatives
2012-10-29 20:00Jim Hamilton's World of Securities Regulation - In Letter to SEC, US Senators Say Proposed Regulations Implementing Sec. 201 of JOBS Act Are Fatally Flawed and Should be Re-Proposed
2012-10-29 17:30Jim Hamilton's World of Securities Regulation - Division of Trading and Markets Issues FAQ on Hurricane Sandy
2012-10-29 13:00Jim Hamilton's World of Securities Regulation - Federal Court Rules Audit Firm Internal Documents Developed in Response to PCAOB Comments Are Privileged in Securities Fraud Action
2012-10-29 08:00Jim Hamilton's World of Securities Regulation - Martin Wheatley Tells UK Parl. Commission that Proper Outcomes for Investors is Key to New Twin Peaks Financial Regulation
2012-10-27 15:30Jim Hamilton's World of Securities Regulation - Senator Specter Championed Cause of Private Investor Actions for Aiding and Abetting Securities Fraud
2012-10-26 12:30Jim Hamilton's World of Securities Regulation - 2 new articles
2012-10-25 12:00Jim Hamilton's World of Securities Regulation - In Brief to Second Circuit, Former Federal Judges Fault Wiretap Application in Insider Trading Case for Failure to Disclose SEC Investigation
2012-10-24 15:00Jim Hamilton's World of Securities Regulation - FINRA Arbitration Panel Award Upheld by Fifth Circuit
2012-10-24 13:30Jim Hamilton's World of Securities Regulation - Treasury Responds to US Senators on FATCA Implementation Concerns
2012-10-23 16:30Jim Hamilton's World of Securities Regulation - European Commission Adopts Regulation Allowing ESMA to Fine Credit Rating Agencies
2012-10-23 13:30Jim Hamilton's World of Securities Regulation - 2 new articles
2012-10-23 12:00Jim Hamilton's World of Securities Regulation - In Letter to Fed, House Oversight Chairs Urge US-Tailored Application of Basel III Capital Standards
2012-10-23 07:30Jim Hamilton's World of Securities Regulation - Senator Warner Says 113th Congress Will Take Up Major Bi-Partisan Dodd-Frank Corrections Legislation
2012-10-22 12:00Jim Hamilton's World of Securities Regulation - European Commission Official Tells PCAOB Roundtable that EU Moving Forward with Legislation Mandating Audit Firm Rotation
2012-10-21 15:30Jim Hamilton's World of Securities Regulation - Former Fed Chair Volcker Tells UK Parl. Commission that Vickers Proposed Separation of Commercial and Investment Banking within Holding Company Would Break Down
2012-10-20 15:00Jim Hamilton's World of Securities Regulation - Former SEC Commissioners Urge Supreme Court to Require Materiality Showing at Class Certification Stage in Private Securities Fraud Action
2012-10-19 14:00Jim Hamilton's World of Securities Regulation - In Letter to CFTC, EU and Japanese Finance Ministers Urge Cross-Border Harmonization of Derivatives Regulation
2012-10-19 12:00Jim Hamilton's World of Securities Regulation - Bi-Partisan Senate Letter to Fed Urges Simpler Capital Requirements Around Basel III
2012-10-18 12:00Jim Hamilton's World of Securities Regulation - 2 new articles
2012-10-17 13:30Jim Hamilton's World of Securities Regulation - Sen. Levin Urges Major Revamp of SEC Proposed Regulations Implementing JOBS Act Ending of Reg. D Ban on General Solicitation
2012-10-15 19:00Jim Hamilton's World of Securities Regulation - 3 new articles
2012-10-14 15:30Jim Hamilton's World of Securities Regulation - UK FRC Proposes Guidance on Financial Instruments for Outside Auditors of Company Financial Statements
2012-10-14 14:00Jim Hamilton's World of Securities Regulation - Ring-Fencing Commercial from Investment Banking is Key to Successful Resolution Authority Says UK FSA Senior Official
2012-10-13 17:00Jim Hamilton's World of Securities Regulation - European Commission Finds SEC Regulation of Credit Rating Agencies Equivalent to EU Regulation
2012-10-13 12:00Jim Hamilton's World of Securities Regulation - UK FSA Chair Endorses Ring-Fencing of Bank Proprietary Trading and Sponsoring of Hedge Funds
2012-10-12 15:00Jim Hamilton's World of Securities Regulation - Senator Shelby Questions CFTC on Implementation of Dodd-Frank Derivatives Provisions
2012-10-12 12:30Jim Hamilton's World of Securities Regulation - 2 new articles
2012-10-11 15:00Jim Hamilton's World of Securities Regulation - NASAA President Calls on SEC to Withdraw Rule 506 General Solicitation Proposal
2012-10-11 12:00Jim Hamilton's World of Securities Regulation - 2 new articles
2012-10-10 15:00Jim Hamilton's World of Securities Regulation - NASAA Proposes Changes to Model Rules on Adviser Performance Fees
2012-10-10 14:00Jim Hamilton's World of Securities Regulation - SEC Amicus Brief Urges Supreme Court to Affirm Ninth Circuit Ruling that Materiality Need Not Be Proven at Class Certification Stage
2012-10-09 18:30Jim Hamilton's World of Securities Regulation - Rep. Frank Refutes Gov. Romney Claim that Dodd-Frank Enshrines Too Big to Fail Doctrine
2012-10-07 13:30Jim Hamilton's World of Securities Regulation - 3 new articles
2012-10-05 20:30Jim Hamilton's World of Securities Regulation - UK Labor Party Leader Urges End to Mandatory Quarterly Financial Reports
2012-10-05 12:30Jim Hamilton's World of Securities Regulation - 2 new articles
2012-10-04 12:00Jim Hamilton's World of Securities Regulation - 2 new articles
2012-10-04 11:30Jim Hamilton's World of Securities Regulation - Senators Question Fed on Imposing Basel III and Dodd-Frank Regulations on Smaller Financial Institutions
2012-10-03 16:00Jim Hamilton's World of Securities Regulation - UK FRC Issues New Guidance for Audit Committees
2012-10-03 08:00Jim Hamilton's World of Securities Regulation - SEC Chair Schapiro Speaks on Market Infrastructure
2012-10-02 12:30Jim Hamilton's World of Securities Regulation - Securities Industry Supports Cross-Border Harmonization of Margin Rules for Non-Centrally Cleared Derivatives
2012-10-01 20:00Jim Hamilton's World of Securities Regulation - Wheatley and Gensler Will Co-Chair IOSCO Task Force to Examine Financial Benchmarks

 

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