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Volcker Rule
Now that the Federal Reserve has approved a 373-page proposal to revise the Volcker rule, fellow regulators – including the SEC and the CFTC – ...
President Trump has sign S. 2155 into law. The bi-partisan financial reform legislation cleared Congress this week. It allows hedge and private equity fund advisers to carry a name matching ...
Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With the costs of asset management expected ...
If anyone knows the tangled regulatory structure of the U.S. government when it comes to financial services, it’s you. A new report from the Treasury ...
Mark July 21, 2017 on your calendar if you run a proprietary fund owned by a bank. That’s the final date for certain private funds ...
It’s hard to comply with the rules when the regulator’s not transparent about them. Take the idea that CCOs at swaps dealers and futures commission ...
Large banks affiliated with investment advisers should already have figured out if they must halt proprietary trading and divest of their sponsored private funds to ...
(a) Prohibition. (1) Except as otherwise provided in this subpart, a banking entity may not, as principal, directly or indirectly, acquire or retain any ownership ...
(a) Organizing and offering a covered fund in general. Notwithstanding §75.10(a), a banking entity is not prohibited from acquiring or retaining an ownership interest in, ...
In a new FAQ, the SEC states that the deadline for CEOs to attest that their entities satisfy the Volcker Rule’s compliance program requirements is ...