The SEC has issued its 2012 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization. (SEC) This is more of what is coming out of Dodd-Frank. In particular: In July 2010, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), which, among other things, amended Section…
Henry Raschen of HSBC Securities, has a short piece at FTSEGlobalMarkets.com about the Dodd-Frank Act (“DFA”). (FTSEGM). Some quick take-aways: The registration requirement applies to US private advisers and non-US private advisers that advise funds with US investors; Many smaller non-US domiciled private advisers may have failed to register correctly; All registered private advisers with…
© Copyright 2014 Accelerant, All Rights Reserved.
Recent Comments