On March 4, 2015, the Financial Stability Board (FSB) and the International Organization of Securities Commissions (IOSCO) issued a second consultation paper concerning the methodology they propose to use to identify nonbank...more
SEC Spotlight on Broker-Dealer Supervision of Outside Business Activities of Registered Representatives.
In this issue we report on the SEC’s settled administrative proceedings against H.D. Vest Investment Securities,...more
On March 26, the Basel Committee on Banking Supervision (“Basel Committee”) published a Consultative Document in which it proposes a revised supervisory framework for measuring and controlling large counterparty exposures...more
On December 10, 2012, the Federal Deposit Insurance Corporation (“FDIC”) and the Bank of England released a white paper, Resolving Globally Active, Systemically Important, Financial Institutions, describing how each would...more
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