Investment Advisers

“I’m concerned about what other interpretations are coming” from the SEC on the new ad rule, he continues. “The marketing rule has a lot of ...

Take heed of your existing privacy programs and extend them to employees and business contacts

A peer shares an example of a non-disclosure agreement

This is a so-called mutual non-disclosure agreement, which means the non-disclosure terms apply to both parties to the agreement

Firm failed to "fully and fairly" disclose conflicts tied to revenue sharing payments and incentives received from two clearing brokers

"I have concerns whether today’s rule proposal correctly strikes this balance. Thus, comments from market participants will be especially important in consideration of any final rule"

"As we were all witness to in 2008, these intermediaries might be incentivized to, essentially, bet against the performance of an asset backed security that ...

"I apologize for the proposal’s unnecessarily short comment period, which continues a troubling pattern in the face of public and Congressional concern"

This is an SEC proposed rule that seeks to bar conflicts of interest in the sale of asset-backed securities

"As directed by Congress, today’s re-proposed rule would prohibit so-called securitization participants—those who sell or facilitate the sale of an asset-backed security—from engaging in a ...