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Knowledge Bank > Financial > Governance
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  •  
  • Summary of the US SEC's ABS Rule Change Proposal, Mayer Brown LLP (4/21/2010)
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  • FDIC Board Approves NPR Regarding Safe Harbor Protection for Securitizations, Federal Deposit Insurance Corporation (FDIC) (5/11/2010)
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  • FASB proposes to defer Statement 167 for asset management funds, Ernst & Young LLP (11/11/2009)
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  • SEC and CFTC Issue Joint Report on Regulatory Harmonization, U.S. Securities & Exchange Commission (10/16/2009)
  •  
  • A Joint Report of the SEC and the CFTC on Harmonization of Regulation, U.S. Securities & Exchange Commission (10/16/2009)
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  • SEC Takes Steps to Curtail Abusive Short Sales and Increase Market Transparency, U.S. Securities & Exchange Commission (7/27/2009)
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  • Administration's Regulatory Reform Agenda Moves Forward, U.S. Department of the Treasury (7/22/2009)
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  • Financial Markets Regulation: Financial Crisis Highlights Need to Improve Oversight of Leverage at Financial Institutions and across System
    ( United States Government Accountability Office ) (7/22/2009)
  •  
  • Basel II capital framework enhancements announced by the Basel Committee, Basel Committee on Banking Supervision (7/13/2009)
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  • CESR recommends the Commission to introduce a mandatory trade transparency regime for non-equity markets, Committee of European Securities Regulators (7/10/2009)
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  • Transparency is the New Gold Standard, US Wealth Managers Must Redefine Role to Regain Trust in Current Environment, RiskCenter.com (6/30/2009)
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  • U.S. Treasury Department Releases Financial Regulatory Reform: A New Foundation Report, U.S. Department of the Treasury (6/17/2009)
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  • ASF Endorses Importance of Securitization Reform in Treasury's Stability Plan, American Securitization Forum (6/17/2009)
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  • IFRS Outlook : Insights on International GAAP, Ernst & Young LLP (6/15/2009)
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  • FASB Accounting Standards Codification(TM) to Officially Launch on July 1, 2009, Financial Accounting Standards Board (FASB) (6/3/2009)
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  • Treasury Proposes Legislation for Resolution Authority, U.S. Department of the Treasury (3/25/2009)
  •  
  • FINRA Proposes Pilot Program for Margining Credit Default Swaps
    ( FINRA - Financial Industry Regulatory Authority ) (3/18/2009)
  •  
  • Transparency of Corporate Bond, Structured Finance Product and Credit Derivatives Markets, European Securitisation Forum (2/24/2009)
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  • Basel Committee Issues Risk-Based Capital Proposals Responding to Market Crisis, Mayer Brown LLP (2/18/2009)
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  • SEC Comment Letters on Domestic Registrants: A Closer Look. Second Edition, Deloitte & Touche LLP (2/2/2009)
  •  
  • Financial Regulation: A Framework for Crafting and Assessing Proposals to Modernize the Outdated U.S. Financial Regulatory System
    ( United States Government Accountability Office ) (1/21/2009)
  •  
  • TARP Reform and Accountability Act of 2009
    ( House Financial Services Committee, US Congress ) (1/9/2009)
  •  
  • NASAA Outlines Core Principles for Regulatory Reform in Financial Services
    ( The North American Securities Administrators Association ) (11/19/2008)
  •  
  • President's Working Group on Financial Markets issued its policy statement update, U.S. Department of the Treasury (10/10/2008)
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  • Board announces creation of the Commercial Paper Funding Facility (CPFF) to help provide liquidity to term funding markets, Board of Governors of the Federal Reserve System (10/7/2008)
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  • SEC Announces Successor to EDGAR Database, U.S. Securities & Exchange Commission (8/19/2008)
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  • Final Report of the Advisory Committee on Improvements to Financial Reporting to the United States Securities and Exchange Commission, U.S. Securities & Exchange Commission (8/1/2008)
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  • Federal Reserve proposes rules to prohibit unfair practices regarding credit cards and overdraft services, Board of Governors of the Federal Reserve System (5/2/2008)
  •  
  • OFHEO Issues Examination Guidance on Fair Value Option, FAS 159
    ( Office of Federal Housing Enterprise Oversight ) (4/21/2008)
  •  
  • ASF Issues Guidelines for Subprime Mortgage Loan Modifications, American Securitization Forum (6/5/2007)
  •  
  • Hedge Fund Regulation and Why it's Being Ignored, RiskCenter.com (5/25/2007)
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  • Financial Services Issue Briefing: Information and Technology Governance, Risk and Compliance, Deloitte & Touche LLP (5/9/2007)
  •  
  • Interagency Statement on Sound Practices Concerning Elevated Risk Complex Structured Finance Activities, Board of Governors of the Federal Reserve System (4/17/2007)
  •  
  • SIA-BMA Merger Approved by Members, SIFMA Transition Begins, The Bond Market Association (7/27/2006)
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  • SEC Moves Forward on Sarbanes-Oxley 404 Improvements, U.S. Securities & Exchange Commission (7/11/2006)
  •  
  • Enhancing Corporate Governance For Banking Organizations, Bank for International Settlements (BIS) (2/14/2006)
  •  
  • Clarification of the Application of Paragraphs 40(b) and 40(c) of FASB Statement No. 140, Financial Accounting Standards Board (FASB) (11/9/2005)
  •  
  • Basel II : Bottom-Line Impact on Securitization Markets, Fitch Ratings (9/14/2005)
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  • Securities Offering Reform Transition Questions and Answers, U.S. Securities & Exchange Commission (9/13/2005)
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  • Banks Slow in Making Progress Toward Basel II Compliance, RiskCenter.com (9/1/2005)
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  • FASB Issues Revised Exposure Draft on Accounting for Transfers of Financial Assets, Financial Accounting Standards Board (FASB) (8/11/2005)
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  • Supervisory Guidance on the Eligibility of Asset-Backed Commercial Paper Liquidity Facilities and the Resulting Risk-Based Capital Treatment, Federal Deposit Insurance Corporation (FDIC) (8/4/2005)
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  • Banks Slow in Making Progress Toward Basel II Compliance, RiskCenter.com (7/26/2005)
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  • Impacts of BASEL II Capital Standards on U.S. Mortgage Rates and Mortgage Securitization, Federal Reserve Board (4/12/2005)
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  • Analysts Concerned About Potential Negative Impact of Sarbanes-Oxley, RiskCenter.com (3/31/2005)
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  • The Bond Market Association and the A.S.F. Applaud the Responsible Lending Act, American Securitization Forum (3/15/2005)
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  • Banks Face Added Risks in a Tough New Regulatory Arena, RiskCenter.com (2/25/2005)
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  • Sarbanes-Oxley Section 404: The 'Section' of Unintended Consequences and Its Impact on Small Business, American Electronics Association (2/11/2005)
  •  
  • Crunch time for Sarbanes-Oxley, RiskCenter.com (2/10/2005)
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  • Operations Risk - Basel II Driving IT Investments, RiskCenter.com (1/20/2005)
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  • Proposed Rule: Fair Administration and Governance of Self-Regulatory Organizations, U.S. Securities & Exchange Commission (1/11/2005)
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  • Sarbanes-Oxley Corporate Reform Measure Under Attack, RiskCenter.com (1/5/2005)
  •  
  • Treasury Announces Successful Privatization of Sallie Mae, U.S. Department of the Treasury (12/29/2004)
  •  
  • Rethinking the Disclosure Paradigm in a World of Complexity
    ( Reprinted with permission from author ) , Steven L. Schwarcz, Duke University Global Capital Markets Center (9/15/2004)
  •  
  • SEC Proposal Prompts Barrage of Responses, Asset Backed Alert, Harrison Scott Publications Inc. (7/16/2004)
  •  
  • Securitization Post-Enron
    ( Reprinted with permissions from the author and Cardozo Law Review ) , Steven L. Schwarcz, Duke University Global Capital Markets Center (4/30/2004)
  •  
  • Securitization Post-Enron (Submission Draft), Steven L. Schwarcz, Duke University Global Capital Markets Center (10/23/2003)
  •  
  • Electronic Filing and Website Posting of All Section 16 Reports, Mayer Brown LLP (5/30/2003)
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  • Improper Influence on Conduct of Audits, Mayer Brown LLP (5/30/2003)
  •  
  • Dramatic changes
    ( This article originally appears in the May 2003 issue of Accountancy magazine and is republished here by permission. ) , Michael L. Hermsen, Philip J. Niehoff, Mark R. Uhrynuk, Mayer Brown LLP (5/1/2003)
  •  
  • ASF Adopts Recommended Monthly Investor Report Template for Multi-Seller Conduits; Revised SEC Sarbanes-Oxley Asset-Backed Guidance Strikes a Workable Compromise, American Securitization Forum (4/30/2003)
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  • Basel Committee comment letter to International Auditing and Assurance Standards Board, Bank for International Settlements (BIS) (4/16/2003)
  •  
  • DOJ Reaffirms And Expands Aggressive Corporate Cooperation Guidelines, Richard Ben-Veniste, Lee H. Rubin, Mayer Brown LLP (4/4/2003)
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  • SEC Adopts New Rules on Auditor Independence Pursuant to the Sarbanes-Oxley Act, Mayer Brown LLP (3/11/2003)
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  • Disclosure in MD&A about Off-Balance Sheet Arrangements and Aggregate Contractual Obligations, Mayer Brown LLP (3/11/2003)
  •  
  • SEC Adopts Rules on Use of Non-GAAP Financial Measures and Earnings Releases (Securities Update), Mayer Brown LLP (2/19/2003)
  •  
  • SEC Adopts Final Rules Requiring Disclosure of Audit Committee Financial Experts Pursuant to the Sarbanes-Oxley Act, Mayer Brown LLP (1/29/2003)
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  • Disclosure of Codes of Ethics for Senior Officers, Mayer Brown LLP (1/29/2003)
  •  
  • SEC Adopts Rules Implementing Sarbanes-Oxley Blackout Period Trading Restrictions, Mayer Brown LLP (1/28/2003)
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  • US - State Securities Regulators Endorse Uniform Securities Act (2002), RiskCenter.com (1/7/2003)
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  • Financial Services Industry Accounting And Disclosure Need To Better Reflect Business And Risk Dynamics, RiskCenter.com (1/6/2003)
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  • Senate Report Attacks Structured Finance, Nomura Securities International, Inc. (1/6/2003)
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  • SEC Issues Proposed Rules Implementing Certain Provisions of the Sarbanes-Oxley Act of 2002, PricewaterhouseCoopers LLP -- Structured Finance Group (12/23/2002)
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  • Financial Accounting: Does It Add Up? (Commercial Lending Review), Joseph V. Rizzi, ABN AMRO (9/1/2002)
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  • Off-Balance Sheet Update, Nomura Securities International, Inc. (7/31/2002)
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  • Accounting vs. Reality: Can We Handle the Truth?, Nomura Securities International, Inc. (3/15/2002)
  •  
  • Thirty Years Later Securitization Is Still Good for America, Nomura Securities International, Inc. (3/15/2002)
  •  
  • The Evolution of U.S. Corporate Governance: We are All Henry Kravis Now, Steven Kaplan, Chicago GSB -- University of Chicago Graduate School of Business (9/2/2000)
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  • Top Executive Rewards and Firm Performance: A Comparison of Japan and the U.S., Steven Kaplan, Chicago GSB -- University of Chicago Graduate School of Business (9/2/2000)
     

     

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