Tags » Dodd-Frank Act

Institute of Risk Management launches revised International Diploma

The Institute of Risk Management has issued its revised International Diploma in Risk Management, the content of which is specifically designed to tackle complex real world risks. 532 more words

Security

Dodd-Frank Act's Efforts to Promote Responsible Sourcing of Conflict Minerals Stumbles Forward

The latest development in the continuing saga of implementing the conflict mineral disclosure provisions established in the Dodd-Frank Wall Street Reform and Consumer Protection Act ( 1,136 more words

United States Securities Law

CFPB Proposes Changes to Reg C

The Home Mortgage Disclosure Act (“HMDA”), implemented through Regulation C, is the next target for changes by the Consumer Financial Protection Bureau (“CFPB”).   The CFPB’s proposed rule claims to simplify the reporting process for financial institutions while also updating the reporting requirements.  206 more words

CFPB

A CONSTRUCTIVE APPROACH TO ACCREDITED INVESTOR DEFINITION

Section 413(b) of Title IV of the Dodd-Frank Act allows the SEC to evaluate the current definition of “accredited investor,” which has been in place since 1982, and to revisit the issue at four year intervals. 393 more words

Crowdfunding

Shilling: Big Banks Shift to Lower Gear | The Big Picture

Gary Shilling describes how US regulators are getting tough with big banks:

Break-Up

Like unscrambling an egg, it’s hard to envision how big banks with many, many activities could be split up.

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US & Canada

Fourth Anniversary of Dodd-Frank

This July marks the fourth year since the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”). With the anniversary comes much debate surrounding the effects of the legislation and whether increased regulatory oversight is necessary.   282 more words

Investment Advisers