International

The RIAs are 'essentially caught between two regulators'

This final rule from Treasury requires U.S. persons to provide notification to Treasury regarding certain transactions involving persons of a country of concern that are ...

"The SEC’s Enforcement Division remains focused on private fund issues, including lack of compliance with the custody rule and its requirement of prompt delivery of ...

The firm was further dinged for improperly permitting one of its FAs to engage in securities activities with and for persons in the U.S., when ...

This CFTC final rule, which becomes effective Sept. 16, would permit a foreign board of trade (FBOT) registered with the Commission to provide direct access ...

While many advisers would rather not see an SEC final rule on artificial intelligence, other governments are grappling with what regulations to put in place ...

"The United States also has laws that govern the conduct of investment advisers that manage assets on behalf of investors as well as other market ...

"Shortening the cycle also means reducing the credit, market, and liquidity risks of the clearinghouse. Lowering risks for market participants and clearinghouses, alike, reduces the ...

"The SEC staff routinely seeks international assistance and the assistance that many of you have provided to us has been invaluable. In turn, the SEC ...

"Allowing firms to access markets without having to comply immediately with the full panoply of regulations provides a manageable entry point into highly regulated markets"