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5 Jun 2012, 1:58 am
The House Financial Services Committee has scheduled a hearing on “H.R. 4624, the Investment Adviser Oversight Act of 2012” for June 6, 2012 . [read post]
26 Apr 2012, 10:59 am
Under the bill, the short title of which is The Investment Adviser Oversight Act of 2012, registered investment advisors would be required to register with a newly created self-regulatory organization(s) called National Investment Adviser Associations (NIAAs) that would be registered and overseen by the SEC. [read post]
23 Dec 2009, 1:31 pm
Here is my testimony before the House Oversight Committee hearing last week regarding implications of the government as a shareholder in TARP recipients, particularly Citigroup, AIG and GM. [read post]
30 Nov 2015, 7:14 pm
The Federal Government continues to spend billions of dollars on failed and poorly performing IT investments while ineffective management and oversight of IT portfolios has resulted in duplication and waste. [read post]
11 Feb 2015, 2:00 am
On February 10, 2015 the City Council Committee on Public Hosing held an oversight hearing on Triborough Preservation Partners, a public-private agreement between the New York City Housing Authority, L+M Development Partners, and BFC Partners. [read post]
16 Aug 2016, 4:13 pm
CRS report via FAS – The Committee on Foreign Investment in the United States (CFIUS): “The Committee on Foreign Investment in the United States (CFIUS) is comprised of nine members, two ex officio members, and other members as appointed by the President representing major departments and agencies within the federal executive branch. [read post]
2 Apr 2009, 3:38 pm
Homeland Security and Governmental Affairs Committee hearing April 2, 2009: Recovery and Investment Spending: Implementing a Bold Oversight Strategy, the... [read post]
7 Jun 2012, 5:00 am
On Wednesday, the House Financial Services Committee held a hearing on the Investment Adviser Oversight Act. [read post]
8 Sep 2011, 3:51 pm
The Capital Markets Subcommittee of the House Financial Services Committee has posted the list of witnesses for the Sept. 13, hearing entitled “Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investment Adviser Oversight. [read post]
30 Dec 2009, 11:20 am
Instead, the investment advisers will need to be assessed a bill for this additional oversight. [read post]
5 Jun 2012, 2:25 pm
Ketchum, Chairman and Chief Executive Officer, FINRA, testified today before the House Committee on Financial Services on H.R. 4624, the Investment Adviser Oversight Act of 2012. [read post]
25 Apr 2012, 10:52 pm
McCarthy Propose Bipartisan Bill for More Effective Oversight of Investment Advisers Washington, Apr 25 - Financial Services Committee Chairman Spencer Bachus and Rep. [read post]
15 Aug 2018, 12:38 pm
CIFIUS Oversight Expanded Federal enactment of the Foreign Investment Risk Review Modernization Act of 2018 (FIRRMA) on August 13, 2018 expands the jurisdictional powers of CFIUS responsible for oversight of foreign direct investment (“FDI”) made by investors from abroad. [read post]
2 Sep 2008, 5:55 am
The Parliamentary Joint Committee on Committee on Corporations and Financial Services has issued its 2008 report on oversight of ASIC. [read post]
29 Mar 2019, 1:47 pm
The Committee on Foreign Investment in the United States (“CFIUS”) is a multi-agency committee comprised of members from executive agencies related to the economy, national security, and foreign intelligence. [read post]
9 Jun 2012, 6:38 pm
Last week, the House Financial Services Committee held a hearing about the Investment Adviser Oversight Act of 2012, a bill introduced by the committee’s chairman, Rep. [read post]
24 Oct 2008, 12:12 pm
Savings Plan Investment Oversight Committee, et al. v. [read post]
12 Mar 2013, 7:15 pm
The Committee will also closely examine any SEC initiatives to insert the government into the assignment of ratings.During the 113th Congress, the Committee will review the SEC’s regulation and oversight of broker-dealers and investment advisers, including the SEC’s consideration of proposals to impose a harmonized standard of care applicable to broker-dealers and investment advisers when providing personalized investment advice… [read post]
8 Jun 2012, 7:47 am
Hearings conducted by the House Financial Services Committee on the Investment Advisers Oversight Act, HR 4624, revealed a growing bi-partisan consensus in Congress that investment adviser oversight must be increased through establishing an SRO for advisers. [read post]
7 Dec 2022, 9:05 pm
Canada’s Treasury Board, for example, has requested advice from an external advisory committee to ensure that the country’s regulatory system enables investment and innovation. [read post]
