Tag:
Dodd Frank
Latest Headlines
Latest Headlines
Diversity as a compliance issue
Many of you probably do not recall that Section 342 of Dodd-Frank requires the establishment of 20 Offices of Minority and Women Inclusion at regulatory agencies.
Whistleblowing's personal toll
Whistleblowers are being incented like never before to turn their companies in for fraud.
Surprise?! Hedge funds like Dodd Frank
Is it surprising that hedge funds as a group are actually pleased with Dodd Frank? A new study has "found most hedge funds felt that registration was the cost of doing business and believed that investors felt safer as a result of it," reports The New York Times .
Dodd-Frank's cost-benefit analysis problem
We've suggested that opponents of Dodd-Frank have identified a powerful legal weapon in their fight to overturn or emasculate the law: A legal claim that the SEC failed to perform adequate cost benefit analyses as to the effects of the many provisions.
Not all whistleblowers will reap big rewards
We've noted that we may be entering a Golden Era for whistleblowing on Wall Street.
Dodd-Frank: Sarbox redux?
Recall that the recent 10 year anniversary of the passage of Sarbanes Oxley was “celebrated” with lots of commentary, either extolling or vilifying the controversial act. Everyone has an opinion.
Volcker Rule critics threaten legal action
Opponents of the Volcker Rule may have an ace in the hole -- especially if you take seriously an appellate ruling last year that invalidated the so-called proxy rule on grounds that the SEC didn’t perform an adequate cost-benefit analysis.
Goldman Sachs at a critical turning point
Are we at an inflection point for Goldman Sachs? While executives maintain there has not been a secular change in demand such that an all-new business model is necessary, there are plenty of reasons
Importance of RIA compliance
One of the great unanswered questions of the new Dodd-Frank era is this: How will registered investment advisors be regulated? Will the SEC retain the chore? Will Finra get tapped for this task? Some
Investment banking fees slump
We've been discussing commercial bank fees ad nauseam recently and speculating about how the big consumer banks would make up for a variety of lost fees. But consumer banks are hardly the only ones
