A peer shares an example of the firm's conflicts questionnaire, issued to staff annually as a way for compliance to spot new potential conflicts of ...
A securitization participant shall not, for a period commencing on the date on which a person has reached, or has taken substantial steps to reach, ...
"I have concerns whether today’s rule proposal correctly strikes this balance. Thus, comments from market participants will be especially important in consideration of any final rule"
"As we were all witness to in 2008, these intermediaries might be incentivized to, essentially, bet against the performance of an asset backed security that ...
"I apologize for the proposal’s unnecessarily short comment period, which continues a troubling pattern in the face of public and Congressional concern"