Search for: "Investment Oversight Committee"
Results 61 - 80
of 1,927
Sorted by Relevance
|
Sort by Date
6 Aug 2012, 3:32 pm
Carolyn McCarthy (D-NY) introduced the Investment Adviser Oversight Act of 2012. [read post]
21 May 2019, 3:46 am
On 20 May 2019, the Legal Entity Identifier Regulatory Oversight Committee (LEI ROC) published its final policy on fund relationships in the global LEI system (GLEIS), which provides definitions of relationships affecting investment funds of collective investment schemes and specifies when reporting these relationships would be optional or not. [read post]
19 Jul 2009, 8:07 am
The compensation committee would be directly responsible for the appointment, compensation, and oversight of the work of the compensation consultant. [read post]
9 Sep 2011, 7:30 am
Legislation to be introduced by Financial Services Committee Chair Spencer Bachus (R-Ala) would require investment advisers registered with the SEC and with state authorities to join a self-regulatory organization overseen by the SEC. [read post]
16 May 2014, 10:48 am
The letter was also signed by the Committee’s five Subcommittee Chairs: Rep. [read post]
30 Oct 2009, 6:34 am
Key House Committee Passes Legislation Regulating Hedge Fund AdvisersAs part of the plan for overhauling US financial regulation, the House Financial Services Committee has reported out legislation requiring advisers to hedge funds and other private investment funds to register with the SEC if they have assets under management of at least $150 million and be subject to significant disclosure and other requirements. [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... [read post]
16 Jan 2014, 3:00 am
For each committee it creates, the board should determine the level of authority to be given to the committee and how it will maintain appropriate oversight of the committee’s actions. [read post]
22 Dec 2011, 10:44 am
Capital Markets Subcommittee Chair Scott Garrett (R-NJ) and Oversight Subcommittee Chair Randy Neugebauer (R-TX) said that the SEC regulations should exempt from the definition of municipal advisor broker-dealers, investment advisers and banks that are already regulated by the Commission and the federal banking agencies. [read post]
27 Jul 2023, 9:05 pm
The nominating or governance committee should identify candidates with AI-level expertise who would be qualified to support AI oversight, whether as a member of the board of directors or as a lay member of a committee with board-delegated powers. [read post]
15 Apr 2009, 7:40 pm
Last week, Rep Dennis Kucinich, who heads the House Oversight Committee's Domestic Policy Subcommittee, asked the Securities and Exchange Commission to determine whether Bank of America Corp. violated federal securities laws when it did not tell shareholders that Merrill Lynch was going to pay executives $3.62 billion in bonuses. [read post]
7 Aug 2012, 6:21 am
The House Committee on Oversight and Government Reform, chaired by Rep. [read post]
14 Jan 2024, 10:49 am
The Senate bill also changes the reserve requirements for condominium buildings deemed unsafe/uninhabitable by local regulators, and it would allow condo associations to create investment committees and invest reserve funds in a combination of depository accounts. [read post]
29 Nov 2017, 1:55 pm
Focus Section on Transparency in the EU’s Investment PolicyElisa Baroncini, Marina Trunk-Fedorova & Peter-Tobias Stoll, The Role of the European Parliament in the Conclusion and Implementation of Free Trade Agreements – An Introduction Ernst-Ulrich Petersmann, EU Constitutional Law as Restraint for eu Trade and Investment Agreements: The Example of CETA and Investor-State Dispute Settlement Fernando Dias Simões, The European Parliament’s… [read post]
14 Dec 2011, 7:47 am
Opponents of a bill that would shift the oversight of investment advisors from the Securities and Exchange Commission (SEC) to another entity such as the Financial Industry Regulatory Authority (FINRA) are gratified that the introduction of the bill has been delayed for several months, according to an aide to House Financial Services Committee Chairman Spencer Bachus, R-Ala. [read post]
26 Jul 2012, 11:58 am
Bachus, Chairman of the House Financial Services Committee, said earlier this week that no consensus has developed regarding any proposal relating to enhancing investment adviser oversight and that, therefore, no action is imminent. [read post]
26 Jul 2012, 11:58 am
Bachus, Chairman of the House Financial Services Committee, said earlier this week that no consensus has developed regarding any proposal relating to enhancing investment adviser oversight and that, therefore, no action is imminent. [read post]
27 Oct 2009, 7:27 pm
For the full text please see H.R. 3818. **** For Immediate Release: October 27, 2009 Committee Approves Private Advisor Registration Bill with Bipartisan Support Washington, DC - Today, the House Financial Services Committee passed H.R. 3818, the Private Fund Investment Advisers Registration Act, introduced by Congressman Paul E. [read post]
6 Aug 2012, 3:32 pm
Carolyn McCarthy (D-NY) introduced the Investment Adviser Oversight Act of 2012. [read post]
30 Dec 2022, 7:01 am
Senator Declan O’Scanlon (R-13) criticized the Joint Budget Oversight Committee (JBOC) for its inaction over the last six months and for allowing inflation to consume more than $500 million of taxpayer money. [read post]
