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Showing 1 - 7 of 7 results for "Mary Schapiro"

ASIC user-pay model "eminently sensible": SEC veteran

ALEX BURKE  |  WEDNESDAY, 20 APR 2016
... whistleblower representation practice, compared the proposal to a similar (failed) one in the US, where ex-SEC chair Mary Schapiro tabled the idea when she began working at the regulator. "That was one of her earlier initiatives and it didn't pass. It's ...

CBA appoints international experts to oversee advice program

LAURA MILLAN  |  MONDAY, 11 AUG 2014
... (RBA). Promontory Financial Group chief executive officer Eugene Ludwig and vice chair of the group's advisory board Mary Schapiro will also be a part of the panel. Ludwig served under United States President Bill Clinton comptroller of the Currency ...

US unlikely to follow EU short selling ban

ALEX DUNNIN  |  TUESDAY, 25 OCT 2011
... against default risk. The ban is unlikely to be supported in the US. US Securities and Exchange Commission chairman Mary Schapiro told a conference last week, "Never say never, but it is hard for me to imagine the SEC ever doing a ban on short-selling ...

US wants pause button in volatile markets

MICHAEL HOBBS  |  WEDNESDAY, 19 MAY 2010
... SEC approval after the industry has been able to comment, would come into effect on a pilot basis on 10 December. Mary Schapiro, chair at SEC, said the exchanges believe the market disruption on 6 May was aggravated by different trading rules and conventions ...

SEC launches derivatives review

SEC RELEASE  |  FRIDAY, 26 MAR 2010
... managed ETFs and leveraged ETFs, which heavily rely on derivatives, use the investment strategy to achieve outcomes. Mary Schapiro, chair at SEC, said it is appropriate to conduct a review on derivatives given the questions surrounding the risks associated ...

US reform tightens net on big firms

RUTH LIEW  |  MONDAY, 14 DEC 2009
... financial institution won't spread like a virus through the entire financial system." In a press statement, SEC chairman Mary Schapiro said she applauded the House for taking the step to boost investor protections, and imrpove the US' financial regulatory ...

Regulators tighten grip on hedge funds

RUTH LIEW  |  MONDAY, 21 SEP 2009
... coherent oversight of global actors and limit opportunities for playing the regulatory seams," said SEC chairman, Mary Schapiro. While plans for a common regulatory and reporting system are yet to be unveilled, the discussions could be a template for ...
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