Nov 2, 2015 | Uncategorized
The Committee on Capital Markets Regulation today released data on the total public financial penalties imposed on financial institutions in the United States for Q3 2015. Public financial penalties include public class action settlements that arise from class action...
Sep 24, 2015 | Capital Markets, Letter
The Committee on Capital Markets Regulation (CCMR) today submitted to the Department of Labor (DoL) a comment letter regarding its fiduciary duty rule proposal. The letter focuses on four principle concerns that have been raised by advisers and investors. First, the...
Sep 10, 2015 | Uncategorized
U.S. capital market competitiveness showed historic signs of weakness in the second quarter of 2015. “The global competitiveness of U.S. capital markets remains disappointing,” said Prof. Hal S. Scott, Director of the Committee on Capital Markets Regulation....
Sep 8, 2015 | Capital Markets, Letter
The Committee on Capital Markets Regulation (CCMR) today submitted a letter to the Securities and Exchange Commission (SEC) on its audit committee disclosures concept release. In general, the CCMR supports strong audit committee disclosure requirements. However, the...
Sep 2, 2015 | Banking, Capital Markets, Financial Stability, Report
In the aftermath of the global financial crisis, G20 member countries agreed to a series of reforms to the international financial regulatory framework. Among these commitments was the introduction of a comprehensive regulatory framework for over the counter...
