Search for: "Luis A Aguilar"
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3 Jun 6:36 am
My notes, live, from the keynote by SEC Commissioner Luis A. Aguilar: James Doty of Baker Botts
introduced the Commissioner. (A disclaimer from the Commissioner: the speech is his opinion alone and not necessarily the view of ... scheme could result in regulatory arbitrage. What
about a U.S. FSA, a single regulator for all of the financial markets? Commissioner Aguilar has concerns about this model. Could a regulator
responsible for keeping financial institutions viable also be aggressive in pursing ...
11 Jun 2:07 pm
... one Securities and Exchange Commission member believes that broker representatives have a fiduciary duty to their clients, and that is Luis
Aguilar, reports Blaine F. Aikin in an article entitled "SEC's Aguilar urges fiduciary standard ...
clearly set their profession apart from the "shark tank" world outside the fiduciary environment. True regulators like Aguilar realize that the
fiduciary standard is, as Mr. Blaine puts it, "an essential requirement that must be compromised in the regulatory reform ...
2 Jul 7:06 pm
... critically important for the long term viability of the hedge fund industry as well as the capital markets. In this vein, I think that Aguilar's statement below represents the type of structures which would contribute to increased stability while minimizing regulation where ... . **** Speech
by SEC Commissioner: Hedge Fund Regulation on the Horizon - Don't Shoot the Messenger by Commissioner Luis A. Aguilar U.S. Securities and Exchange Commission Spring 2009 Hedgeworld Fund Services Conference New ...
21 Apr 1:46 pm
SEC Commissioner Luis A. Aguilar presented a speech on "Making Investors a Priority in Regulatory
Reform" in Boston, Massachusetts on April 17, 200. The three topics he addressed were: the SEC's role in regulatory reform, the role of a systemic...
8 Jun 1:00 pm
... 2009 by Bruce Carton of Enforcement Action Compliance Week 2009 Day 1 What a Difference a Year Makes by Francine McKenna of Re: The Auditors SEC's Aguilar on 404, IFRS Proxy Access, More by Melissa Klein Aguilar of The Filing Cabinet SEC Commish, ... , I was the
guy generating the cacophony of coughs. But I did manage to keep notes during the sessions I attended: Luis Aguilar Keynote at Compliance Week Conference Vetting Business Partners with Alexandra Wrage of Trace International to talk about how ...
20 Nov, 2007 3:03 am
... ? We try to stay away from rumors on this blog - as they often don't pan out - but it's noteworthy that the Washington Post ran this article last week noting that Luis Aguilar and Elisse Walter may be tapped to fill the SEC Commissioner vacancies since the shareholder ... 's
five Commissioner spots must be filled by members of the political party that doesn't control the White House. Luis Aguilar is a securities lawyer at McKenna Long & Aldridge in Atlanta and a former SEC Staffer. ...
27 Jun, 2008 5:37 pm
... the three nominees for the open SEC positions clearing the way for full Senate approval. The Committee unanimously approved the nominations of Luis Aguilar, Troy Paredes and Elisse Walter on Wednesday. The SEC currently has only three of its five commissioner
spots ... professor at Washington University Law School. And Walter is a senior executive at the Financial Industry Regulatory Authority. President Bush picked Aguilar and Walter to fill the two Democratic slots and Paredes to replace Atkins.
18 Feb 4:43 am
... Fact: Investors Don't Read Disclosures Today As timely covered by Dominic Jones in his "IR Web Report," SEC Commissioner Luis
Aguilar recently delivered a speech in which he expressed concern over the huge drop in the number of retail investors who voted last year.
This drop is mainly attributable to the SEC's new e-proxy rules - and Commissioner Aguilar strongly suggested that "we move quickly to
reconsider e-proxy, improving it if possible, repealing it if necessary, but with the ...
28 May 6:18 am
(Editor's Note: The post below by Commissioner Aguilar is a transcript of remarks by him at the recent 2009 Independent Directors Conference
Workshop in Boston). It is a pleasure to be here with all of you at the 2009 Independent Directors Conference Workshop to share my views on the regulatory reform issues currently being
discussed. I do have to mention that all the views I express today are my own and do not necessarily reflect those of the Commission, the individual Commissioners, or the ...
10 Jun 9:29 am
(Editor's Note: The post below by Commissioner Aguilar is a transcript of remarks by him at the Compliance Week Annual Conference on June 3,
2009 in Washington, D.C.) I am honored to be speaking to a room full of people who spend their days building a culture of compliance. As a former general counsel of a large global asset
manager, I have a deep appreciation for the challenges that Compliance Officers face. These challenges are particularly great today. In these times of drastic cost cutting ...
20 Jun 9:38 am
... consultants. In a speech delivered May 7th at the Advisers Association's annual conference, SEC Commissioner Luis Aguilar said that broker representatives increasingly provide investment advice, and such advisors have "an affirmative ... firms and broker representatives
increasingly offer an ongoing advisory and monitoring component in exchange for compensation. As Commissioner Aguilar points out, that brings
those firms and representatives within the Investment Advisors Act of 1940, which imposes ...
3 Nov 7:21 am
... s Note: The post below by Commissioner Aguilar is a transcript of his remarks at the Hofstra Investment Management Conference, omitting
introductory and conclusory remarks; the complete transcript is available here. The views expressed in this post are those of Commissioner Aguilar and do not necessarily reflect those of the Securities and Exchange Commission or the other Commissioners.) Right now there are many voices clamoring
to be heard regarding financial reform. This clamor is composed of ...
14 Dec, 2007 11:28 am
... the Democrats' choices to fill their two slots on the Securities and Exchange Commission. The two names put forward are Luis
Aguilar, a partner at the Atlanta law firm of McKenna, Long & Aldridge and Elisse Walter, a senior FINRA official. ... only Democrat on the
panel. She plans to step down. Another commissioner, Roel Campos, left the SEC in August. Aguilar specializes in investment companies,
investment advisers, corporate and securities law, and international transactions. He also worked as ...
6 Sep 6:20 am
(Editor's Note: The post below by Commission Aguilar is a transcript of his remarks at the Joint Meeting of the Securities and Exchange
Commission and Commodity Futures Trading Commission last week.) Good morning. I, too, would like to welcome the panelists and the members of the public present here, as well as those
observing by webcast. I am delighted to be here for these unprecedented meetings and I welcome these upcoming discussions. As some of you know, I have been supportive of combining ...
23 Oct, 2007 9:22 pm
... elaborate in comments to this post for those less familiar with Professor Cox). Other names afloat to fill one of the two Democratic vacancies are WilmerHale partner Yoon-Young Lee
and McKenna Long partner Luis Aguilar. (Hat tip: Kate Ackley, Roll Call.) (2) Heading up to the Hill
this afternoon for hearings on international financial reporting standards. A Subcommittee of the Senate Banking, Housing, and Urban Affairs Committee will hear testimony from ...
22 Jan, 2008 3:12 am
... , has spent most of his first year trying to break up organized crime rings. The violence has spread to the United States. On Saturday, drug-smuggling suspects from Mexico killed an
American border patrol agent, Luis Aguilar, 32, when he tried to stop their cars west of Yuma, Az.
Michael Chertoff, homeland security secretary, said the killing demonstrated how Mexican criminal organizations had responded to the crackdown with increasing brutality. ...
1 Feb, 2008 7:37 am
... Paul Atkins. By law, the SEC cannot have more than three members from the same political party. As we reported earlier, although Senate Majority Leader Harry Reid has reportedly
recommended two former SEC officials to fill the Democratic spots, Elisse Walter and Luis Aguilar,
President Bush does not seem to be in much of a hurry to appoint new commissioners.
26 Feb, 2008 3:57 am
... Saturday's WSJ, this article names four possible successors to Commissioner Paul Atkins (who is a Republican) when his term runs out this summer (Douglas Cox, Steven Guynn, Stuart
Kaswell, Troy Paredes) - as drawn up by the White House - as well as lists the two Democratic candidates (Luis Aguilar, Elisse Walter) that have been sitting in the White House for some time. - Broc Romanek
31 Mar, 2008 5:19 am
/**/ President Bush: Announces Intention to Nominate Democratic SEC Commissioners Due to this White House press release from Friday, the status of Luis Aguilar and Elisse Walter to become SEC Commissioners has been upgraded from "rumor" to "announced intentions."
Once nominated - and if confirmed by the US Senate - they will fill out the Commission and both serve as Democratic Commissioners. Elisse's appointment ...
30 Mar, 2008 1:21 pm
... news of the week, but the Law Blog understood the importance of Saturday's WSJ story on the new Democratic nominees at the SEC, which has been operating with just three Republican
commissioners since January. As reported, the two lawyer nominees - Luis Aguilar and Elisse Walter -
"could smooth the way for dozens of other nominations bottled up in Congress" and spark long-awaited rule changes in the wake of the ...
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