Carl Ayers
"A conflicted transaction entails directly shorting the ABS, entering into a credit default swap that references the underlying assets, or something economically equivalent to either ...
"Our pattern of proposing unrealistic rules with numerous questions, only to substantively revise the rule text after the comment period closes inhibits our ability to ...
"If market participants are seeking to comply with the rule and find that there are circumstances that call for an exemption, guidance, or other relief, ...
"The final rule we adopt today will contribute to the healthy functioning of ABS markets by reducing the ability of securitization participants to exploit their ...
Entities that will be effected by this new final rule include investment advisers and ABS investors. For example, pension funds, endowments, foundations, hedge funds, and ...
This is an SEC final rule that would prohibit conflicts of interest in the sale of asset-backed securities
Here’s a tip. Ask your accounting department for a list of vendors your firm pays and double-check to ensure they’re really your vendors
Although Laidlaw had monitoring procedures to detect potential violations by reps of the quantitative prong of the Care Obligation, Laidlaw did not reasonably maintain and ...
A look at the state of ESG in the industry, due diligence best practices, more reaction to proposed PF rules and much more
Respondents employed a strategy of taking quick profits on part of a particular securities position resulting in frequent trade recommendations in these accounts .... As ...
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