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6 Jan 2008, 8:03 am
In this regard, he has favorably mentioned that European Commissioner for the Internal Market Charlie McCreevy has requested CESR to examine specific issues relating to the rating process of structured finance products and report back to the Commission. [read post]
22 Jul 2008, 3:31 pm
Hong Kong Markets Largely Unaffected by Securitization TurmoilThe Hong Kong securities markets have been relatively unaffected by the market turmoil in asset-backed securities, said Securities and Futures Commission Executive Director Keith Lui, since the markets have less exposure to sub-prime credit and structured credit products than the US markets. [read post]
29 Nov 2023, 7:12 am
Section 27B, however, mandates Commission rulemaking implementing this prohibition. [read post]
11 Nov 2013, 12:39 pm
On November 7, Royal Bank of Scotland PLC (RBS) entered into a consent decree with the Securities and Exchange Commission (SEC) agreeing to pay $153.8 million in settlement of allegations concerning RBS’s disclosures in connection with an RMBS offering. [read post]
6 Feb 2013, 5:00 am
The Securities and Exchange Commission took the bold step of filing charges against Standard and Poor’s, one of the three giant rating agencies. [read post]
6 Feb 2013, 5:00 am
The Securities and Exchange Commission took the bold step of filing charges against Standard and Poor’s, one of the three giant rating agencies. [read post]
1 Oct 2010, 11:48 am
Imperial Holdings has issued a revised registration statement, S1-A, with the Securities and Exchange Commission ("SEC"), in conjunction with its Initial Public Offering (IPO). [read post]
13 Nov 2010, 6:16 am
Securities and Exchange Commission. [read post]
19 Aug 2011, 6:30 am
Securities and Exchange Commission. [read post]
26 Jan 2023, 9:30 am
Section 27B is not effective until the Commission issues a final rule implementing this prohibition. [read post]
12 Mar 2012, 6:00 am
In addition to filing Form ADV with the SEC when they register with the Securities and Exchange Commission, private fund managers will also need to start filing Form PF. [read post]
25 Jan 2023, 8:25 am
The Securities and Exchange Commission today proposed a rule to implement Section 27B of the Securities Act of 1933, a provision added by Section 621 of the Dodd-Frank Act. [read post]
27 Nov 2023, 12:35 pm
The Securities and Exchange Commission today adopted Securities Act Rule 192 to implement Section 27B of the Securities Act of 1933, a provision added by Section 621 of the Dodd-Frank Act. [read post]
25 Apr 2013, 6:26 am
Goldman Sachs' recent filing with the Securities and Exchange Commission (SEC) to launch a "business development company," or BDC, should be of interest to financial services companies, particularly banking institutions structuring and restructuring their operations and product offerings to comply with the Volcker Rule's prohibitions on investing in and sponsoring "covered funds." [read post]
26 Nov 2011, 10:24 am
Thus, rating agencies would have to publish those sovereign debt ratings outside the European working hours of the stock exchanges, so that traders have some time to assess them before starting to trade. [read post]
16 Oct 2009, 5:00 am
Katz, Secretary (1986-2006), United States Securites and Exchange Commission Edward S. [read post]
1 Jul 2011, 12:52 am
Wells Fargo, in a variation on the same theme, provided the judge with a copy of the Pooling & Servicing Agreement (“PSA”), but the copy was downloaded from the Securities and Exchange Commission website and was not signed, so it didn’t contain the loan schedules referenced in the agreement that should have identified the mortgage in question as being included in the pool. [read post]
14 Oct 2011, 2:00 am
Here is an excerpt: SUMMARY On September 19, 2011, the Securities and Exchange Commission proposed for public comment Rule 127B to implement the prohibition in Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act against securitization participants engaging in any transaction that would involve or result in any material conflict of interest with respect to any investor in a securitization transaction. [read post]
11 May 2011, 6:00 am
Six federal agencies, including the Federal Deposit Insurance Corporation (FDIC), the Securities and Exchange Commission, and the Department of Housing and Urban Development, have jointly proposed a new rule that would require banks to retain at least five percent of the credit risk for assets-backed securities they issue. [read post]
2 Sep 2020, 6:42 am
Securities and Exchange Commission (SEC) published a final rule amending the regulations that implement Section 13 of the Bank Holding Company Act (the “BHC Act”), commonly known as the Volcker Rule. [read post]
