As the financial services industry pours over the 1,023 pages that comprise the Department of Labor’s newly released final rule on fiduciary duty and related ...
The outcry in the wake of the Panama Papers release has quickly filtered down to investment advisers. Fewer than 24 hours after the release, a ...
The Department of Labor’s regulatory revision of its ERISA fiduciary duty standard is so sweeping the agency couldn’t contain it all in one rule but ...
If you follow professional sports, you’ll recognize some of these names. Late one night, retired professional basketball player Dikembe Motumbo went to use his American ...
Nearly 100 letters came into the SEC by the time it closed the comment period March 28th for its derivatives proposal that was released late ...
Some financial services firms have bristled at the prospect of the Financial Stability Oversight Council labelling them a systemically important financial institution. Now a federal ...
Dodd-Frank gave the SEC the power to take more of its enforcement cases to its administrative proceedings setting rather than the courts. A new study ...
If you work at a firm that’s dual- or even tri-registered, you know the hassles of having to report to more than one regulator. A ...
SEC commissioners unanimously agreed: Former Stanford Financial Group CCO Bernerd Young displayed “obvious unfitness for employment in the securities industry” in helping to perpetrate Stanford's ...
Ask people about the importance of the 30-year-old SEC Clover Capital no-action letter and you hear responses that speak to its staying power: “It’s ...