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18 Jul 2017, 12:09 pm
” Although Dodd-Frank was not mentioned by name in this context, one cannot help but wonder how much the Chairman’s remarks were directed at that much maligned legislation. [read post]
18 Jul 2017, 12:09 pm
” Although Dodd-Frank was not mentioned by name in this context, one cannot help but wonder how much the Chairman’s remarks were directed at that much maligned legislation. [read post]
30 Jun 2017, 6:00 am
SEC’s Clayton Vows to Do More Exams with Less Funding in AdvisorHub SEC Chairman Jay Clayton testified to Congress on Tuesday morning that the agency will increase its examinations of investment advisers by 20% in the current fiscal year and nudge the numbers up a further 5% in fiscal 2018, despite requesting a slightly lower budget than in the current year. [read post]
5 Jun 2017, 7:48 am
He mentioned the reviews of investment adviser and broker-dealer regulations that have been conducted over the years, including the RAND study in 2006, a Dodd-Frank Act staff study in 2010-2011, and the SEC’s request for data and other information in 2013. [read post]
31 May 2017, 8:55 am
Chairman Clayton will remain under Congressional pressure to finalize incomplete Dodd-Frank rules concerning clawbacks, hedging and pay for performance. [read post]
31 May 2017, 8:55 am
Chairman Clayton will remain under Congressional pressure to finalize incomplete Dodd-Frank rules concerning clawbacks, hedging and pay for performance. [read post]
31 May 2017, 3:34 am
Reportedly, SEC Chair Jay Clayton plans to tap one of his former Sullivan & Cromwell partners to lead the SEC’s Enforcement Division – Steve Peikin. [read post]
5 May 2017, 6:00 am
Clayton at Sullivan & Cromwell LLP. [read post]
26 Apr 2017, 3:15 am
Aides to Jay Clayton, Mr. [read post]
31 Mar 2017, 8:23 am
The Senators argued that there is no evidence that any of Piwowar’s actions are favored by incoming SEC Chair Jay Clayton. [read post]
17 Mar 2017, 6:00 am
Rubinfeld, NYU School of Law, on Monday, March 13, 2017 Tags: Antitrust, Behavioral finance, Clayton Act, Executive Compensation, Executive performance, Firm performance, Incentives, Institutional Investors, Investor protection, Management, Ownership, Peer groups, Shareholder value, Sherman Act Is Disgorgement a “Forfeiture” for Statute of Limitations Purposes? [read post]
13 Mar 2017, 4:46 pm
” All else equal, it seems likelier that priority of the agency under Clayton would be more toward regulatory and finance issues, rather than toward enforcement issues. [read post]
9 Mar 2017, 5:47 am
[Am Law Daily] * Ninth Circuit says Dodd-Frank provides broad whistleblower protection, which sets up an intriguing circuit split for the roughly three weeks Dodd-Frank remains a law. [read post]
3 Mar 2017, 9:43 am
He has nominated Jay Clayton—a corporate attorney who has spent his career representing financial services firms in business transactions and regulatory disputes—to fill one of those vacancies and serve as SEC Chair. [read post]
3 Mar 2017, 9:43 am
He has nominated Jay Clayton—a corporate attorney who has spent his career representing financial services firms in business transactions and regulatory disputes—to fill one of those vacancies and serve as SEC Chair. [read post]
7 Feb 2017, 5:51 am
Since the SEC is currently subject to three vacancies, it’s unlikely that anything will happen until Jay Clayton is approved by the Senate as the new Chair. [read post]
17 Jan 2017, 4:19 pm
Political fallout in the wake of the 2007-2008 financial crisis, and the passage of Dodd-Frank, led many to predict the dawn of a new regulatory enforcement era. [read post]
6 Jan 2017, 5:50 am
IN THE NEWS President-elect Donald Trump announced his intention to nominate Jay Clayton—a partner at the law firm Sullivan & Cromwell who has represented many Wall Street banks—to be Chair of the U.S. [read post]
5 Jan 2017, 8:04 am
Chair White was saddled with the rule-making imperatives from Dodd-Frank. [read post]
5 Aug 2016, 6:27 am
Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Tuesday, August 2, 2016 Tags: Antitrust, Boards of Directors, Clayton Act, Conflicts of interest, DOJ, Foreign firms, Interlocking boards,International governance, Safe harbor, Securities enforcement, UK SEC Proposal to Streamline Disclosure Requirements Posted by Paul A. [read post]
