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DEPARTMENT OF THE TREASURY
Financial Stability Oversight Council open and executive sessions.
The preliminary agenda for the open session includes an update regarding the Council's ongoing work on asset management. The preliminary agenda for the executive session includes a discussion of the Council's 2016 annual report.
FSOC has said
it isn't likely to designate asset managers as "systemically important financial institutions" (SIFIs) but will focus instead on products and activities to oversee systemic risk in the industry.
Tuesday, Apr 19
SECURITIES AND EXCHANGE COMMISSION
The SEC's
Office of Compliance Inspections and Examinations will hold its annual
National Compliance Outreach Seminar for Investment Companies and Investment Advisors.
The seminar is designed for chief compliance officers at investment advisers and investment companies to help "enhance their compliance programs for the protection of investors."
SEC Chair Mary Jo White, Enforcement Director Andrew Ceresney, Investment Management Director David Grim and OCIE Director Marc Wyatt are all slated to attend. The
event will feature panels on private fund advisers, registered investment companies and enforcement.
Wednesday, Apr 20
SECURITIES AND EXCHANGE COMMISSION
2016 Regional Compliance Outreach Programs for Broker-Dealers in Atlanta, Georgia.
The SEC's Office of Compliance Inspections and Examinations, in coordination with the SEC's Division of Trading and Markets, is partnering with FINRA to sponsor the programs. Similar to the 2015 National Compliance Outreach Program for Broker-Dealers, each regional program will provide a forum for regulators and industry professionals of broker-dealer firms to discuss current regulatory issues and exchange ideas for effective compliance practices. Other programs are scheduled to be held in
New York, Dallas, Boston, Chicago, and San Francisco.
Thursday, Apr 21
NATIONAL CREDIT UNION ADMINISTRATION
Open board meeting for Consideration of Proposed Interagency Rule, Parts 741 and 751, Incentive-Based Executive Compensation. The NCUA
is the first among six U.S. financial-industry regulators to propose Dodd-Frank Act rules to guard against excesses in incentive-based executive compensation.
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HOUSE SMALL BUSINESS
Subcommittee on Economic Growth, Tax and Capital Access hearing on "Not So Golden Years: The Administration's Flawed Proposed Retirement Regulation."
Tuesday, Apr 19
HOUSE WAYS AND MEANS
Hearing on identity theft-related tax fraud and cybersecurity attacks.
Wednesday, Apr 20
HOUSE SMALL BUSINESS
Hearing on the threat of cyber attacks to small businesses.
Wednesday, Apr 20
HOUSE OVERSIGHT AND GOVERNMENT REFORM
Subcommittee on Information Technology hearing on cybersecurity.
Thursday, Apr 21
HOUSE FINANCIAL SERVICES
Subcommittee on Capital Markets and Government Sponsored Enterprises hearing on
"Continued Oversight of the SEC's Offices and Divisions" to examine the mission, operation and activities of certain units of the Securities and Exchange Commission, including the Office of Credit Ratings. Witness testimony will be given by t
he SEC's Division of Economic and Risk Analysis Director Mark Flannery, Office of Compliance Inspections and Examinations Director Marc Wyatt, Office of Credit Ratings Director Thomas Butler, and Office of the Whistleblower Chief Sean McKessy.
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Monday, Apr 18 -
Thursday, Apr 21
AMSTERDAM, Netherlands
The International Association of Insurancea Supervisors (IAIS) holds series of meetings of the Governance Working Group (GWG), Supervisory Material Review Task Force (SMRTF), and the Market Conduct Working Group (MCWG).
Monday, Apr 18 -
Friday, Apr 22
PARIS, France
OECD Integrity Week 2016. Multiple public events bring together stakeholders from government, academia, business, trade and civil society to actively support governments and organizations to strengthen integrity, build trust, and fight corruption.
Wednesday, Apr 20 -
Thursday, Apr 21
MADRID, Spain
IOSCO's Committee 6 on Credit Rating Agencies meeting.
Wednesday, Apr 20 -
Friday, Apr 22
AMSTERDAM, Netherlands
Eurofi High Level Seminar. Topics include the prospects of growing electronification in the capital markets (fintech, blockchain, electronic platforms). Commodity Futures Trading Commissioners Sharon Bowen and J. Christopher Giancarlo will participate.
Thursday, Apr 21
LONDON, England
Financial Conduct Authority Roundtable to discuss competition for asset management products and services in the retail sector.
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Monday, Apr 18
NEW YORK CITY
Federal Reserve Bank of New York President William Dudley gives the opening remarks at a NY Fed conference on "The Transatlantic Economy: Convergence or Divergence."
Thursday, Apr 21
NEW ORLEANS, Louisiana
Bond Buyer and Bond Dealers of America National Municipal Bond Summit. The Municipal Securities Rulemaking Board's Gail Marshall, Associate General Counsel - Enforcement Coordination, will speak.
Thursday, Apr 21
NEW YORK CITY
The Capital Link Closed-End Funds and Global ETFs Forum.
Friday, Apr 22
NEW YORK CITY
On Earth Day 2016, the landmark Paris Agreement is scheduled to be signed by the U.S., China, and 120 other countries. UN Secretary-General Ban Ki-moon will host the signing ceremony for the global climate change treaty at United Nations headquarters.
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Transparency. Inclusiveness. Consensus.
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