Entries tagged "Dodd-Frank Act"

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In Washington, more of the same could shake status quo

The pressure to avoid the fiscal cliff will force the White House and Congress to break the policy logjam. Continue reading

Posted on November 9, 2012 4:08 PM

Jamie Dimon blames DC dysfunction for slow economy

JPMorgan chief laments partisan warfare and failure to create certainty about "a bunch of policy things." Continue reading

Posted on October 11, 2012 8:02 AM

FCPA for dealmakers: A tutorial

With the increase in Foreign Corrupt Practices Act enforcement activity, a thorough diligence plan is essential when considering the acquisition of a business with non-U.S. operations Continue reading

Posted on August 23, 2012 1:54 PM

GOP takes steps for more SOX relaxation

The controversial bill would exempt more companies from internal controls auditing. Continue reading

Posted on August 2, 2012 10:35 AM

Big banks try assuring public in living wills

Some big institutions went to great lengths in the public portion of their living-will submissions to describe themselves as flush with capital and healthier than ever. Continue reading

Posted on July 6, 2012 6:25 AM

Another snarl in Dodd-Frank

The Securities and Exchange Commission struggles with rules for juxtaposing executive and rank-and-file compensation. Continue reading

Posted on June 15, 2012 12:40 PM

J.P. Morgan trade: OCC berated for missing threat

Several Democrats expressed astonishment that the bank's problems didn't generate early and significant attention from the regulator. Continue reading

Posted on June 7, 2012 9:11 AM

The complexity of the simplicity solution

In Tuesday's New York Times, Joe Nocera follows up on some recent commentary from former Bank of America Merrill Lynch executive Sallie Krawcheck about the dangers of financial complexity. Continue reading

Posted on May 29, 2012 11:33 AM

Time for private equity to focus on Form PF

The reporting form for private fund advisers was mandated by the Dodd-Frank Act to help regulators determine systemic risk. Continue reading

Posted on May 25, 2012 12:30 PM

On financial genius and banking boo-boos

The columns, blogs, tweets and sober cud-chewing over the J.P. Morgan Chase & Co. trading debacle continues. What have we learned? Continue reading

Posted on May 15, 2012 1:03 PM

Dodd-Frank changes standard on aiding and abetting

The provision strengthens the SEC against third parties who enable securities violations. Continue reading

Posted on April 13, 2012 3:29 PM

Fair value for PE funds: What's your risk appetite?

Regulatory compliance is expensive and time consuming, but this to-do list will help general partners mitigate some of the costs. Continue reading

Posted on April 13, 2012 3:29 PM

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