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2 Jul 2010, 5:29 pm
As a sign of the coming rulemakings at financial regulators if the Dodd-Frank Wall Street Reform and Consumer Protection Act becomes law, the Public Company Accounting Oversight Board (PCAOB) has announced that its Standing Advisory Group (SAG) will meet July 15, 2010 to consider, among other things, the auditing standards that the PCAOB will need to adopt in order to handle audits of broker-dealers, as mandated by the Dodd-Frank Act. [read post]
18 Jan 2018, 12:45 pm
The SEC whistleblower program was established by Congress as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [read post]
6 May 2011, 5:00 am
Here are some compliance-related stories that recently caught my eye: Investing in an ethical corporate culture by Aarti Maharaj in Corporate Secretary Companies are starting to distinguish between non-financial and financial risks in order to continue improving their overall governance and business structures. [read post]
22 Sep 2010, 1:15 pm
Source: Wall Street Journal [read post]
25 Sep 2008, 7:25 pm
The ongoing turmoil on Wall Street is providing activist shareholders and Democratic lawmakers a historic opportunity to push reforms that could help alter the prevailing U.S. corporate governance model from one that is director-centric to one that is more shareholder-centric. [read post]
25 Jan 2010, 1:48 am
In the current Wall Street bailout, post-Madoff environment, sentiment may be running high for legislative reforms that could expand liabilities under the federal securities laws. [read post]
9 Aug 2010, 5:31 am
The Financial Times notes that New US whistleblowing incentives within the Dodd-Frank financial reform act – that could net informants multimillion dollar pay-outs – are likely to generate a surge in allegations against US-listed companies and Wall Street banks, lawyers say. * * *[F]inancial industry bodies and lawyers representing companies warned that the scale of the potential pay-outs could generate rogue tip-offs by disaffected employees, wasting… [read post]
4 Feb 2016, 9:30 am
A description from the Press:For all the turmoil that roiled financial markets during the Great Recession and its aftermath, Wall Street forecasts once again turned bullish and corporate profitability soared to unprecedented heights. [read post]
23 Oct 2008, 6:51 pm
If you are laid off by a Wall Street firm and are not one of the fortunate few, like Mr. [read post]
5 Nov 2015, 5:54 am
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
14 Dec 2010, 6:30 am
Finishing Financial ReformReforming Wall Street is not a done deal. [read post]
19 Feb 2016, 8:20 am
” The two government agencies issued the proposed rule pursuant to the Dodd-Frank Act, which specifically empowers them to regulate the liquidation of specific large financial entities. [read post]
30 Sep 2011, 7:19 am
Charles Schwab has an opinion piece in the Wall Street Journal on his views on what will and won't work to create jobs. [read post]
23 Sep 2008, 9:54 am
The present mess on Wall Street will no doubt spill into the courtroom too, though the players may be somewhat different this time around.When the economy took a dive at the beginning of the decade amid a rash of accounting scandals, securities class action lawyers were centre stage. [read post]
15 Sep 2008, 7:28 am
In the end, both Wall Street and the Fed blinked" about the shifting strategy for the problems is maddening. [read post]
20 Jan 2021, 5:00 am
The ICI said an FTT would punish both Main Street and Wall Street and that the effect of a 10 basis point FTT could be equivalent to a 31 percent increase in the average expense ratio of many equity funds held in 401(k) plans. [read post]
3 Nov 2015, 6:23 am
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
11 Nov 2008, 1:00 am
However, according to the Federal Deposit Insurance Corporation, the cost to taxpayers was $124 billion, with another $29 billion borne by the thrift industry. [17] IV. [read post]
4 Feb 2024, 9:05 pm
Originally viewed as a Wall Street competitor, private credit has gradually conquered the UK and the rest of Europe as well. [read post]
14 Dec 2011, 7:01 pm
I am looking forward to it, more so after reading the great Burton Malkiel’s review in today’s Wall Street Journal (perhaps behind a paywall, but maybe not). [read post]
