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15 Jun 2008, 2:43 pm
The committee believes that shareholder ratification of the audit firm will enhance the audit committee's oversight to ensure that the auditor is suitable for the issuer's size and financial reporting needs. [read post]
10 Dec 2019, 1:16 pm
The Maryland Technology Development Corporation plans to have implemented new regulations required by an oversight law so it can begin accepting applications for new investments by Jan. 1, TEDCO’s acting director told a Senate committee Tuesday. [read post]
28 Mar 2019, 5:03 pm
The EU oversight mechanism does not exert as much control as the Committee on Foreign Investment in the U.S., lawyers say. [read post]
14 May 2012, 7:00 am
Not Congresswoman Maxine Waters, the second-highest ranking Democrat on the Financial Services Committee; she favors the SEC keeping oversight over investment advisers. [read post]
30 Jan 2024, 11:13 am
SEC Strengthens Oversight of SPACs The U.S. [read post]
7 Jan 2013, 4:44 pm
Carolyn McCarthy (D-NY) co-sponsored bi-partisan legislation, the Investment Advisers Oversight Act, H.R. 4624, to establish an SRO for investment advisers. [read post]
22 May 2014, 6:27 am
Editor's Note: The following post comes to us from Jon Lukomnik of the IRRC Institute and is based on the summary of a report commissioned by the IRRC Institute and authored by Peter DeSimone of the Sustainable Investment Institute; the full report is available here. [read post]
18 Oct 2022, 6:34 am
In that investigation, the Committee on Oversight and Reform urged investment in water infrastructure and health services. [read post]
16 Apr 2019, 5:50 am
Independent Governance Committees (IGCs) provide independent oversight of the value for money of workplace personal pensions provided by firms such as some self-invested personal pension operators. [read post]
24 Apr 2024, 3:15 am
Part of the conundrum is that the Committee’s risk oversight role makes it a natural launching pad for new oversight responsibilities. [read post]
9 Jul 2008, 8:28 pm
Key Senators Assert Oversight of SEC-FEDMOU on Investment BanksThe Chair and Ranking Member of the Senate Banking Committee admonished the SEC and the Federal Reserve Board not to implement their historic Memorandum of Understanding on regulating investment banks until the oversight committee can determine that the agreement is in the public interest. [read post]
28 Oct 2009, 10:28 am
References: Press Release – Committee Approves Private Advisor Registration Bill with Bipartisan Support Text of Private Fund Investment Advisers Registration Act Private Fund Investment Advisers Registration Act of 2009 – Prior post More on the Private Fund Investment Advisers Registration Act of 2009 – Prior post Capital Markets Regulatory Reform: Enhancing Oversight of Private Pools of Capital – Prior post [read post]
8 Nov 2006, 2:55 am
The Investment Advisers Act exempts from registration investment advisers with fewer than fifteen clients. [read post]
13 Sep 2011, 5:43 pm
Praising the draft legislation authorizing an SRO for investment advisers of sponsored by Financial Services Committee Chair Spencer Bachus (R-Ala) as a thoughtful approach to investment adviser regulation, FINRA chief Richard Ketchum said that if FINRA becomes an SRO for investment advisers it would implement regulatory oversight that is tailored to the particular characteristics of the investment adviser business. [read post]
29 Sep 2018, 8:59 am
This post is based on her recent testimony before the United States House of Representatives Committee on Financial Services, Subcommittee on Capital Markets, Securities, and Investment, available here. [read post]
5 Nov 2009, 6:41 am
The members and stakeholders of the Coalition’s respective organizations believe that the issue warrants greater deliberation and through the letter are urging the committee to conduct a more thorough examination before allowing the delegation of authority from the SEC to FINRA, a self-regulatory organization ("SRO") that has no experience overseeing advisers or enforcing the provisions of the Investment Advisers Act of 1940.The Coalition believes that the amendment… [read post]
21 Jun 2017, 9:37 pm
Thank you, The post Select Committee on the Non-Profit Sector: Oversight, Federal Law Perspective appeared first on Nonprofit Law Blog. [read post]
7 Dec 2011, 8:17 pm
Richard West, the whistleblower responsible for the $150 settlement that Maxim Healthcare agreed to earlier this year, testified before the House Oversight Committee on Wednesday. [read post]
10 Jan 2022, 9:15 am
In the House of Representatives, the Oversight Committee explores possible updates to the Federal Information Security Management Act in light of a spate of cyber attacks on federal agencies, while the Agriculture Committee focuses on the impact of electric vehicle investments in U.S. agriculture and rural communities. [read post]
14 Nov 2011, 3:28 pm
The Senate's COMMITTEE ON BANKING, HOUSING, AND URBAN AFFAIRS SUBCOMMITTEE ON SECURITIES, INSURANCE, AND INVESTMENT will meet on November 16 in OPEN SESSION to conduct a hearing entitled “Management and Structural Reforms at the SEC: A Progress Report. [read post]
