期刊名称：Michigan Business & Entrepreneurial Law Review
印刷版ISSN：2375-7523
出版年度：2015
卷号：4
期号：2
页码：163-193
出版社：University of Michigan Law School
摘要：The Financial Stability Oversight Council (FSOC) was created under the Dodd-Frank Act with the primary mandate of guarding against systemic risk and correcting perceived regulatory weaknesses that may have contributed to the financial crisis of 2008-2009. The Securities and Exchange Commission (SEC) collects data pertaining to private fund advisers in order to facilitate FSOC’s assessment of non-bank financial institutions’ potential systemic risks. Evidence that the SEC’s data collection encounters accuracy and consistency problems might hamper FSOC’s ability to evaluate the systemic risk of private fund advisers. The author shows that while the SEC’s data plays a crucial role in all stages of FSOC’s systemic risk assessment of private fund advisers, FSOC relies most heavily on some of the most problematic disclosure items collected by the SEC.
关键词：Dodd-Frank Act; Financial Stability Oversight Council; Banks; Financial institutions; Risk; Securities and Exchange Commission; Federal agencies; Accuracy; Data; Transparency
