Hints and tips:
...representation practice at law firm Labaton Sucharow LLP and a former SEC assistant director who led the development of the agency’s whistleblower programme....
...the Dodd-Frank package of post-financial crisis banking reforms....
...He devised new standard documentation for the International Swaps and Derivatives Association to comply with Dodd-Frank regulation, and is helping the Federal Reserve develop new standards to replace Libor...
...“We’re going to have to still work through a fair amount of process and technology issues,” he says, adding that there was a “lot of clean-up” in the US after the Dodd-Frank banking regulations came into...
...Both are noted critics of the 2010 Dodd-Frank Act, the landmark piece of financial-sector legislation of the Obama era....
...PwC LLP has been censured and slapped with a $1m fine by the Public Company Accounting Oversight Board, after the auditor failed to ensure that Merrill Lynch had complied with a regulation requiring broker-dealers...
...Goldman is also hoping for a lighter touch on the Volcker rule, a Dodd-Frank Act reform that effectively banned big banks from putting on market bets of their own....
...The US president has promised to drive growth in part by taking an axe to burdensome regulation and diluting big sets of financial rules such as the Dodd Frank Act — ideas Mr Champ supports....
...reasoning that regulatory initiatives such as the Volcker rule and the Dodd-Frank Act have reduced dealers’ willingness to commit capital to market making in bonds....
...In her early career, she worked as a Corporate and Intellectual Property Lawyer at Fenwick West LLP and as Associate General Counsel for Sun Microsystems....
...Exchanges had long prohibited disruptive behaviour but spoofing was explicitly banned by the US Dodd-Frank financial reform law of 2010, as authorities grew concerned that anonymous computers could repeat...
...The Queen laid down her knife and fork and turned to her interlocutor, a serious expression settling on her face....
...Amendments are proposed to Dodd-Frank, but few become law In December Washington agreed the “CROmnibus” spending bill, which included a significant amendment to the swaps pushout provision of Dodd-Frank...
...Dodd-Frank Act: Under Dodd-Frank, all hedge fund advisers with $150m or more in assets from US-based investors are required to register with the US Securities and Exchange Commission....
...Congress explicitly outlawed spoofing with the Dodd-Frank financial reform law of 2010. But under other names, the practice was previously banned by exchanges....
...From the FT story: The gains mark a return to stability for Quantum, which Mr Soros closed to non-family members at the end of 2011 to avoid regulatory scrutiny under the Dodd-Frank financial reforms....
...derivatives rules, another Dodd-Frank mandate....
...Ms Ball-Dodd believes these subtleties are adequately flagged....
...But she also had to preside over huge volumes of rulemaking, which are still to be fully completed, related to the 2010 financial reform law known as Dodd-Frank....
...James Nicholls is director, risk & compliance at Baringa Partners LLP...
...and transactions when they have a “direct and significant” effect on US commerce....
...“Treating swaps and futures products differently is inconsistent with [the] Dodd-Frank Act’s commitment to transparency, investor protection, and competition, and it poses imminent, significant adverse consequences...
...“Even if they are not registering, US banks will be and so will Europeans, so Asian banks kind of get dragged into Dodd-Frank life because they are trading with somebody who is having to be Dodd-Frank compliant...
...Investment banks saw a spate of high-profile hedge fund spinouts in 2010 after US lawmakers passed the Dodd Frank act, which prohibits banks from outright speculation with their own money....
...Jonathan Dodd, of Waterhouse & Dodd galleries in New York and London, says: “We have gone from being a gallery dealing in important and interesting works by many little-known artists, to dealing in major...
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