Reports and Testimonies - Browse by topic
Regulatory agencies (11 - 20 of 193 items)
Additional Actions Could Improve Regulatory Oversight of Analyst Conflicts of Interest
Published: Jan 12, 2012. Publicly Released: Jan 12, 2012.
Risk Management and Cost Modeling Require Continuing Attention
Published: Nov 14, 2011. Publicly Released: Dec 1, 2011.
Dodd-Frank Act Regulations:
Implementation Could Benefit from Additional Analyses and Coordination
Published: Nov 10, 2011. Publicly Released: Nov 10, 2011.
Regulators Will Need More Comprehensive Information to Fully Monitor Compliance with New Restrictions When Implemented
Published: Jul 13, 2011. Publicly Released: Jul 13, 2011.
New Regulatory Challenges Could Emerge as the Industry Grows
Published: Jul 7, 2011. Publicly Released: Jul 7, 2011.
Modified Prompt Corrective Action Framework Would Improve Effectiveness
Published: Jun 23, 2011. Publicly Released: Jun 23, 2011.
Documentation Problems Reveal Need for Ongoing Regulatory Oversight
Published: May 12, 2011. Publicly Released: May 12, 2011.
Consumer Costs for Debt Protection Products Can Be Substantial Relative to Benefits but Are Not a Focus of Regulatory Oversight
Published: Mar 25, 2011. Publicly Released: Mar 25, 2011.
Securities and Exchange Commission:
Action Needed to Improve Rating Agency Registration Program and Performance-Related Disclosures
Published: Sep 22, 2010. Publicly Released: Sep 22, 2010.
Defined Benefit Pension Plans:
Plans Face Valuation and Other Challenges When Investing in Hedge Funds and Private Equity
Published: Jul 20, 2010. Publicly Released: Jul 20, 2010.