IA Speeches

"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 ...
"Best execution is a nuanced concept .... Of course, no discussion of best execution in the current market environment can disregard the incentives created by ...
I believe it’s appropriate to look at ways to freshen up the SEC’s rules to ensure that our equity markets reflect our mission: to maintain ...
Sideletter
"The SEC Chair has made clear that further ESG disclosure is an area that the agency will pursue.[8]  So, I want to take this opportunity ...
"I am now directing the staff to consider whether to recommend further regulatory action regarding proxy voting advice"
Elad Roisman
"We find it difficult, however, to imagine what has changed in the roughly ten months since the Commission last considered this issue that would call ...
"The SEC’s Divisions of Investment Management, Examinations, and Enforcement continue to focus on advisers to private funds. It is important to hold investment advisers accountable ...
"We need to build on this foundation, so people should be coming to us with suggestions of educational credentials, examinations, or professional certifications and designations ...
"We must not operate under the false assumption that the securities laws already effectively elicit the information investors need .... I hope we can dispense ...
The issues on the agenda today are all critically important for investors: Regulation Best Interest, gamification of trading, ESG, and the private markets
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination