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Systemically Important Nonbank Institutions
April 25, 2012
The Financial Stability Oversight Council ("FSOC") recently issued final rules and interpretive guidance regarding how nonbank financial companies will be evaluated to determine whether these institutions should be subject to supervision by the Board of Governors of the Federal Reserve Board and additional prudential standards.… read more
401(k) Plans in Living Color
April 24, 2012
A recent study entitled 401(k) Plans in Living Color: A Study of 401(k) Savings Disparities Across Racial and Ethnic Groups, presents the results of a survey conducted by the Ariel Education Initiative, Aon Hewitt with the Joint Center for Political and Economic Studies and the Raben… read more
IOSCO On ETFs
April 23, 2012
In March 2012, the technical committee of the International Organization of Securities Commissions (IOSCO) issued a report on Principles for the Regulation of Exchange Traded Funds. The report requests comments on the Committee’s proposed recommended principles on ETF regulation. The principles cover the following areas:… read more
Status Report on Dodd-Frank Implementation
April 17, 2012
Morrison & Foerster has released a report on the implementation of the Dodd-Frank Act. Although many of the most important and difficult questions concerning regulatory reform under Dodd-Frank remain to be answered (including systemic designation, extraterritoriality, the swap definitions, Volcker and risk retention in this… read more
Enforcement Cases in 2011
April 12, 2012
Morgan Lewis has issued a summary of 2011 SEC enforcement cases and developments pertaining to funds and advisers. The summary noted that there was increase in cases against investment companies and investment advisers in 2011, resulting in a total of 146 actions representing a 30%… read more