Financial Advice

SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants

The Securities and Exchange Commission today voted to propose rules that would impose certain business conduct standards upon security-based swap dealers and major security-based swap participants when those parties engage in security-based swap transactions.
Originally Published: 
Wednesday, June 29, 2011

US Regulatory Agencies Seek Comment on Proposed Rule on Incentive Compensation

Pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, federal financial regulatory agencies have requested public comment on a joint proposed rule to ensure that regulated financial institutions design their incentive compensation arrangements to take account of risk.
Originally Published: 
Wednesday, March 30, 2011

European Securities and Markets Authority Outlines Future Regulatory Framework for Exchange-Traded Funds and Other UCITS Issues

The European Securities and Markets Authority has published a consultation paper setting out future guidelines on Undertakings for Collective Investment in Transferable Securities Exchange-Traded Funds and other Undertakings for Collective Investment in Transferable Securities related issues
Originally Published: 
Monday, January 30, 2012

Australian Treasury Releases Proposed Directors’ Liability Reforms to Harmonise Laws on Liability for Corporate Fault

The proposed Personal Liability for Corporate Fault Reform Bill 2012 (“Bill”) represents the first tranche of the Commonwealth Government’s response to the Directors’ Liability reform project, which forms part of the Council of Australian Governments’ National Partnership Agreement to Deliver a Seam
Originally Published: 
Friday, January 27, 2012

Australian Corporations and Markets Advisory Committee Releases Information Paper on Executive Remuneration

The Corporations and Markets Advisory Committee has published an information paper on some of the approaches taken in Australia and internationally in respect of the regulation of executive remuneration arrangements, including the use and implications of various types of incentives and reporting on
Originally Published: 
Thursday, July 14, 2011

Australian Corporations and Markets Advisory Committee Releases Report on Derivatives

The report prepared by the Corporations and Markets Advisory Committee responds to a request from the Australian Government for advice on the suitability of the legislative definition of “derivative” for today’s derivatives markets and whether it may be possible to decrease complexity in this area o
Originally Published: 
Thursday, December 22, 2011

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