Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Volcker Rule (30)
Your search for Volcker Rule returned 30 results.
Sorted by Date

9/11/2018 | Content area: Investment Adviser | Private Fund
In response to requests from commenters regarding issues addressed in the proposal, the public comment period has been extended for 30 days until Octo...
9/06/2018 | Content area: Investment Adviser
The SEC, along with four other federal financial regulatory agencies, has determined to extend by 30 days the comment period for a proposed rule to si...
6/08/2018 | Content area: Investment Adviser
One view holds that the complex and costly Volcker rule must be changed to more easily permit hedging and market making. The second view fears looseni...
6/08/2018 | Content area: CPO/CTA
This spring, CFTC Chairman J. Christopher Giancarlo told Congress he would prefer an unanimous vote to stop the threshold for swap dealer registration...
6/06/2018 | Content area: Investment Adviser
This is a proposed revision of the so-called Volcker rule.
5/31/2018 | Content area: Investment Adviser
Now that the Federal Reserve has approved a 373-page proposal to revise the Volcker rule, fellow regulators – including the SEC and the CFTC – are due...
5/24/2018 | Content area: Investment Adviser
President Trump has sign S. 2155 into law. The bi-partisan financial reform legislation cleared Congress this week. It allows hedge and private equity...
11/02/2017 | Content area: Investment Adviser
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With...
6/15/2017 | Content area: Investment Adviser
If anyone knows the tangled regulatory structure of the U.S. government when it comes to financial services, it’s you. A new report from the Treasury ...
12/15/2016 | Content area: Investment Adviser | Private Fund
Mark July 21, 2017 on your calendar if you run a proprietary fund owned by a bank. That’s the final date for certain private funds to comply with the ...
4/14/2016 | Content area: CPO/CTA
It’s hard to comply with the rules when the regulator’s not transparent about them. Take the idea that CCOs at swaps dealers and futures commission me...
7/09/2015 | Content area: Investment Adviser
Large banks affiliated with investment advisers should already have figured out if they must halt proprietary trading and divest of their sponsored pr...
9/18/2014 | Content area: Investment Adviser
In a new FAQ, the SEC states that the deadline for CEOs to attest that their entities satisfy the Volcker Rule’s compliance program requirements is Ma...
6/23/2014 | Content area: Investment Adviser
For the first time, the handful of federal agencies lumped together in overseeing the Volcker rule has released their first FAQs."They are not substan...
2/05/2014 | Content area: CPO/CTA
Acting Chair Wetjen talks about the Volcker Rule, stating "CFTC estimates that, under its Volcker regulations, it has authority over more than 100 reg...
1/27/2014 | Content area: Investment Adviser
Barely a month after five regulators issued the long-awaited Volcker rule (IA Watch, Dec. 16, 2013), they've tweaked the law after determining "an urg...
1/14/2014 | Content area: CPO/CTA
Commissioner O'Malia applauds a tweak to the Volcker rule concerns the holding of TruPS CDOs by community banks affected by the Volcker Rule.
1/14/2014 | Content area: CPO/CTA
Chair Wetjen states that he supports the tweak to the Volcker rule that aided community banks.
12/23/2013 | Content area: Investment Adviser
Reaction to the final Volcker rule was somewhat muted last week as observers worked their way through its nearly 1,000 pages (IA Watch, Dec. 16, 2013)...
12/16/2013 | Content area: Investment Adviser
That new 964-page final Volcker rule won't directly affect most investment advisers but those of you affiliated with large banks may feel a pinch, eve...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US