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Investment Advisers

The new agenda lists 49 items, many targeting investment advisers. Some are holdovers, but many are new
Courtesy of David Spaulding, DPS, CIPM of the The Spaulding Group in Naples, Fla. (www.SpauldingGrp.com)
Intervest and Carson caused certain advisory clients to invest in Standard Units and Fund Class A shares when otherwise identical, but less expensive, Fee Account ...
Require the cloud vendor to complete a written due diligence questionnaire
"We are disappointed that the Commission would dedicate our scarce resources to rehashing newly completed rules"
"I believe BSBY has many of the same flaws as LIBOR. Both benchmarks are based upon unsecured, term, bank-to-bank lending .... That’s why I believe ...
"The events brought particular focus to prime money market funds, and their interrelationship with investments in commercial paper and certificates of deposit. CP and CD ...
Chairman looks at Reg D, ESG disclosures, insider trading, Form PF and much else
The correction affects swaps recordkeeping by broker-dealers and OTC derivatives dealers
"It’s interesting to note that the United Kingdom, Canada, and Australia don’t allow broker-dealers to route retail orders to wholesalers in return for payments .... Again, it’s best ...

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