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16 Dec 2011, 7:54 am
In earlier testimony before the Senate Banking Committee, SEC Chair Mary Schapiro noted that the Dodd-Frank Reserve Fund would allow the SEC to respond to unexpected market events, invest in multi-year IT projects, and manage authorized programs during continuing resolutions. [read post]
16 Dec 2011, 5:00 am
These are some compliance related stories that caught my attention: Dodd-Frank Rules Will Crush Employment, Banks Warn by Paul Sperry for Investors Business Daily Job-killing bank regulations threaten to wipe out all the gains in private-sector employment since the recovery began, the industry warns. [read post]
15 Dec 2011, 8:27 am
Wall Street lobbyists have made sure the new Dodd-Frank law has enough loopholes to allow financiers to continue to gamble with other peoples’ money. [read post]
15 Dec 2011, 7:40 am
Municipal Bond Case As described here, on December 8, 2011, various government agencies announced that Wachovia Bank, N.A. has entered into a series of settlements with the SEC, the Department of Justice, the Office of the Comptroller of the Currency, the Internal Revenue Service, and 26 state attorneys general to pay $148 million related the bank's entry into fraudulent secret arrangements with bidding agents to rig at least 58 municipal bond reinvestment transactions in 25… [read post]
15 Dec 2011, 7:09 am
The legislation also rescinds $25 million from the new Dodd-Frank mandated reserve fund, which Committee Chair Hal Rogers called a slush fund for the SEC for programs that Congress has not approved.In testimony earlier this year before the Senate Banking Committee, SEC Chair Mary Schapiro noted that the Dodd-Frank reserve fund would allow the SEC to respond to unexpected market events, invest in multi-year IT projects, and manage authorized programs during continuing… [read post]
15 Dec 2011, 6:14 am
Passage of Dodd-Frank and Creation of the CFPB In an attempt to address the perceived causes of the crisis, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which President Obama signed into law on July 21, 2010. [read post]
15 Dec 2011, 4:34 am
In my opinion, that needs to be the starting part of any reform (and came 'oh, so close' to happening when Dodd-Frank was being negotiated by the House and Senate)... [read post]
15 Dec 2011, 12:22 am
National Australia Bank Ltd., 130 S. [read post]
14 Dec 2011, 3:52 pm
Further, cash-management must be performed by a qualified third party such as a federally-insured bank or a traditional broker-dealer. [read post]
14 Dec 2011, 6:47 am
The question is whether these governance structures are ineffective and whether implementing independence standards imposed by Dodd-Frank, SOX and the major stock exchanges will improve bank governance. [read post]
14 Dec 2011, 4:22 am
Update 10:30 AM Pacific: The Senate Banking Committee held a hearing this morning that touched on crowdfunding. [read post]
14 Dec 2011, 2:25 am
Wang’s new company, Hilead, secured $300 million in financing from the state-owned China Development Bank. [read post]
14 Dec 2011, 2:16 am
By Frank Caruso _________ info@ipglegal.comIPG is engaged in projects in Bangladesh, Cambodia, China, Korea, Laos, Myanmar, the Philippines, Vietnam and the U.S. [read post]
13 Dec 2011, 2:35 pm
As always remember that the FDIC rules are temporary and thus any time you have more than $100,000 at one bank you should be keeping track of the latest FDIC rules. [read post]
13 Dec 2011, 12:25 pm
I had the pleasure today of interviewing Donna Boehme about the impact Dodd-Frank has had on corporate compliance programs. [read post]
13 Dec 2011, 11:22 am
In respect of judicial bias, the statement made by Frank J. of the United States is worth quoting:- "If, however, `bias' and `partiality' be defined to mean the total absence of preconceptions in the mind of the Judge, then no one has ever had a fair trial and no one will. [read post]
12 Dec 2011, 6:47 pm
But they said he spread the blame beyond himself, to colleagues in his former 70-attorney law firm to employees at the firm’s one-time bank, Toronto Dominion.Let's bring in the criminal defense lawyer for some perspective here before we declare Rothstein the definition of truth: “It’s obvious to me there are people he’s going after and there are others he’s trying to protect,” said criminal defense attorney Sam Rabin, who is representing TD… [read post]
12 Dec 2011, 12:58 pm
Until the CFPB’s director is confirmed, by the way, the bureau cannot use the power it received under the Dodd-Frank law… most notably it cannot regulate mortgage originators and payday lenders. [read post]
12 Dec 2011, 8:10 am
The paper’s case study is of the Volcker rule, which restricts proprietary trading and ownership interests in hedge funds and private equity funds by banking entities. [read post]
12 Dec 2011, 5:58 am
Continue reading "Open Government and the Implementation of the Dodd-Frank Act" [read post]
