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Private fund advocates say rules go too far, threatens trade secrets
"The regulatory gap described, therefore, is more optical than substantive; closing it amounts to little more than grade-grubbing"
The Biden administration wants to rework American society, and sees fund managers as a problem to be solved.
Covered advice would include recommendations on investment strategies and advice on how rollover proceeds should be invested
A final DOL fiduciary duty rule appears to be getting closer
Rules on hold after Fifth Circuit pause, but managers may need to prepare
'You cannot get deals if you’re not texting and your competitors are,' FirmScribe CEO says from PFCFO New York Forum.
Nonbinding vote another signpost on Gary Gensler’s long and fraught road to reform
'Healthcare markets are a key site' in battle to reshape American society, top trustbuster says
FinCEN wouldn’t mandate that an RIA’s CCO oversee its AML program. However, it does point out that “the presence of a compliance officer may reduce ...