Evidence supports delaying the SEC’s liquidity risk management program rule and its related reporting requirements at least one year would be appropriate. That’s the take ...
With the scale and scope of cyber attacks increasing, front-line staffs are scrambling to not only keep the bad guys out, but keep up with ...
Historically the SEC has announced charges against firms not satisfying rule 105 of Regulation M in big bunches. This time it’s only the New York-based ...
The YouTube video featuring Knights of Columbus Asset Advisors ($22B in AUM) in New Haven, Conn., notes the “Powerball Jackpot is $800 million dollars” and ...
CFTC Chair J. Christopher Giancarlo invokes a Roman god to sum up his job description at the agency. Not that he views himself as sacrosanct. ...
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 ...
The word’s being heard throughout many recent SEC exams. While most exams may be shorter and less intensive, expect that OCIE will want to interview ...
Mohammed Ali Rashid routinely delegated to his assistant the filing of his monthly expense reimbursement forms at the private equity fund adviser Apollo Management ($46B ...
FINRA encourages firms to use new powers to hold up disbursements that seem exploitative to senior customers. But “savvy bad guys” are finding a new ...
Complex products bring with them special supervision, suitability and rep training obligations. Volatility-linked exchange-traded products fit squarely into this bucket and recently led to two ...