Search for: "Investment Oversight Committee"
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31 Aug 2021, 6:22 am
Boards looking to enhance governance of digital transformation, or other highly transformative topics (such as sustainability and environmental, social, and governance matters), regularly establish new committees that can improve board oversight and engagement. [read post]
2 Dec 2011, 10:32 am
Chairs Mary Schapiro and Gary Gensler were closely questioned by committee Chair Debbie Stabenow (D-MI) and ranking member Pat Roberts (R-KS) about the agencies’ oversight of the failed firm.MF Global traded both securities and commodities derivatives, although the securities side was small, consisting of only about 400 accounts. [read post]
1 Sep 2011, 12:20 pm
The House Financial Services Committee recently announced two upcoming hearings on the SEC: On September 13, 2011, the Capital Markets and Government Sponsored Enterprises Subcommittee will hold a hearing on the regulation and oversight of broker-dealers and investment advisers. [read post]
11 Jan 2023, 9:05 pm
Finally, investors want more timely information about how the audit committee fulfills its oversight responsibility. [read post]
17 Jun 2020, 5:01 am
In light of shortfalls in the CFIUS’s foreign investment reviews, Congress statutorily authorized the committee and increased the CFIUS’s power and Congress’s oversight of it. [read post]
15 Jan 2019, 10:24 am
The post Puerto Rico Oversight Board Seeks to Invalidate Over $6 Billion of General Obligation Bonds appeared first on Securities Fraud Attorney. [read post]
15 Sep 2011, 5:00 am
House Financial Services Committee Chairman Spencer Bachus has introduced the Investment Adviser Oversight Act of 2011. [read post]
22 Jul 2010, 5:26 pm
Testimony Before the Senate Committee on Finance on July 21, 2010Neil Barofsky - Special Inspector General of TARPElizabeth Warren - Chair of the Congressional Oversight PanelRichard Hillman - Managing Director of Financial Markets and Community Investment Team for the GAOJordan E. [read post]
13 Jul 2009, 2:15 am
Bill Increasing Adviser Oversight at Federal Level Causing ConcernA bill introduced Wednesday, July 8 by Barney Frank, Chair of the House Financial Services Committee, to provide the SEC with federal jurisdiction over the 14,000 investment advisory firms regulated solely by the states is causing concern among those investment advisers, state securities regulators and the Consumer Federation of America in Washington D.C. [read post]
3 Aug 2014, 11:27 am
Contrary to that testimony, asserted the oversight Chair, the Volcker Rule’s adverse impact on the corporate bond market has been apparent since at least 2012 and liquidity in that market has only worsened in the intervening two years.The Chair cited a June 2012 Financial Times article reporting that large investment and asset management firms were finding it harder to purchase or sell bonds from dealer banks because the banks were reducing their own… [read post]
6 Aug 2012, 1:40 pm
Journal called "Financial Advisers, Police Yourselves," in which he calls for support of the Investment Adviser Oversight Bill that would authorize the... [read post]
14 Feb 2013, 1:35 pm
Today, at a Senate Banking Committee hearing on "Wall Street Reform: Oversight of Financial Stability and Consumer and Investor Protections," SEC... [read post]
23 Sep 2019, 3:00 am
Tomorrow morning, the House Financial Services Committee will hold an oversight hearing on the SEC in which all 5 SEC Commissioners will participate. [read post]
24 Sep 2009, 8:28 am
The report was released at an event featuring Chairman Towns of the House Committee on Oversight and Government Reform, details and video of the event are available here.) [read post]
7 Jan 2019, 11:35 am
The Fiscal Oversight Board and Special Committee reportedly consider the retention of Brown Rudnick as key to determining whether parties that played a role in Puerto Rico’s economic woes took part in “actionable conduct. [read post]
6 Jul 2015, 5:00 am
The SEC’s concept release, which focuses on independent auditor oversight, acknowledges that some companies already exceed the minimum audit committee-related disclosure requirements. [read post]
14 Oct 2021, 3:21 pm
Some corporate boards delegate their cyber risk oversight duties to an audit committee. [read post]
29 Jul 2009, 4:38 am
The compensation committee would be directly responsible for the appointment, compensation, and oversight of the work of the compensation consultant. [read post]
5 Oct 2022, 7:36 am
While some PE-owned insurers may exhibit higher risk tolerances, as discussed in the Senate Banking Committee hearings above, they remain subject to the same oversight and regulation as other insurance companies. [read post]
28 Jun 2017, 11:51 am
This is a costly oversight. [read post]
