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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]
20 Nov 2020, 6:00 am
Nguyen (Driehaus College of Business), on Wednesday, November 18, 2020 Tags: Asset management, ESG, Fund managers, Incentives, Innovation, Patents, R&D, Sustainability Testimony by Chairman Clayton on Oversight of the Securities and Exchange Commission Posted by Jay Clayton, U.S. [read post]
19 Jan 2018, 6:30 am
Posted by Jay Clayton, U.S. [read post]
16 Nov 2018, 3:02 am
” We soon met Frank Namin – who saddled up next to us and seemed to be this establishment’s resident magician. [read post]
21 Jun 2019, 7:40 am
I am grateful to Chairman Giancarlo and Chairman Clayton for their work on this rule and our broader cooperation efforts. [read post]
7 Jan 2020, 4:20 am
Before then, Overland Park Police Chief Frank Donchez had refused to release the officer’s name. [read post]
9 Jul 2012, 7:01 am
Frank, sought leave to intervene to oppose the settlement and to seek dismissal of the lawsuit. [read post]
7 Apr 2022, 11:49 am
Uyeda’s previous roles with the SEC include Senior Advisor to Chairman Jay Clayton and Acting Chairman Michael S. [read post]
27 Jul 2017, 9:45 am
., and bassist Adam Clayton were all named as defendants in the Amended Complaint filed by British recording artist Paul Rose (“Rose”) in June of this year. [read post]
18 Jun 2009, 6:22 am
For example, the claim that the "IWF model ... is a success and is admired internationally" simply ignores the criticisms that have been voiced of the IWF model by observers such as Lilian Edwards, Frank Fisher, Richard Clayton (pdf) and others.In part, this flows from a second problem with the report - it doesn't differentiate between the role of the IWF in dealing with illegal material hosted in the UK (which is generally regarded as successful) with its role in… [read post]
13 Dec 2019, 12:53 am
Thomas NYU Law’s Compliance & Enforcement blog Nearly ten years ago, following a global financial collapse spurred by serial wrongdoing, Congress enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act. [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]
2 Mar 2020, 8:18 am
Building upon the majority’s emphasis during the first session of the 116th Congress on consumers and investors, the majority said the SEC’s forthcoming budget should focus on enforcement, examinations, and finishing Dodd-Frank Act rulemakings. [read post]
15 Dec 2017, 6:13 am
Securities and Exchange Commission, on Wednesday, December 13, 2017 Tags: Accounting, Audits, Broker-dealers, External auditors, Investor protection, Oversight, PCAOB, Sarbanes–Oxley Act, SEC, Securities regulation Statement on Cryptocurrencies and Initial Coin Offerings Posted by Jay Clayton, U.S. [read post]
24 Aug 2018, 6:06 am
Springer, Gibson, Dunn & Crutcher LLP, on Wednesday, August 22, 2018 Tags: Banks, Capital requirements, Charter & bylaws, Consumer protection, Dodd-Frank Act, Financial institutions, Financial regulation, Financial technology, OCC, Risk, Stress tests Statement on Investor Roundtables Regarding Standards of Conduct for Investment Professionals Rulemaking Posted by Jay Clayton, U.S. [read post]
29 Mar 2019, 6:09 am
Rose, Sidley Austin LLP, on Sunday, March 24, 2019 Tags: Anti-corruption, CFTC, Commodities, Commodities Exchange Act, Dodd-Frank Act, DOJ, FCPA, International governance, Misconduct, SEC, Securities enforcement PE Professionals on the Boards of their Portfolio Companies Posted by Glenn West and Miae Woo, Weil, Gotshal & Manges LLP, on Monday, March 25, 2019 Tags: Boards of Directors, Books and… [read post]
19 Oct 2018, 6:08 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Tags: AIG, Broker-dealers, Derivatives, Financial regulation, Market efficiency, SEC, SEC rulemaking, Swaps, Transparency Opening Statement at the SEC Open Meeting Posted by Jay Clayton, U.S. [read post]
17 Apr 2020, 5:55 am
Franks (London Business School), and Hannes F. [read post]
2 Aug 2019, 6:33 am
Niles, Wachtell, Lipton, Rosen & Katz, on Friday, July 26, 2019 Tags: Advanced notice, Boards of Directors, Classified boards, Delaware cases, Delaware law, Hedge funds, Shareholder nominations, Shareholder voting Remarks to the SEC Investor Advisory Committee Posted by Jay Clayton, U.S. [read post]
20 May 2022, 6:30 am
Lucas, Fried, Frank, Harris, Shriver & Jacobson LLP, on Monday, May 16, 2022 Tags: Delaware cases, Delaware law, Freezeouts, Joint ventures, Merger litigation, Mergers & acquisitions, Minority shareholders, Partnerships Proposed SEC Rule on Private Fund Advisers Posted by William W. [read post]
