International

Investment advisers should consider whether any advice regarding LIBOR-linked investments and applicable risks is consistent with their clients’ goals

Effective compliance and risk management at financial institutions doesn’t just protect those institutions and their shareholders, it also helps make financial markets more resilient

Helikon did not qualify for an exception to Rule 105 when it purchased shares in the Offering

That’s why I agree with the ARRC that the Secured Overnight Financing Rate (SOFR), which is based on a nearly trillion-dollar market, is a preferable alternative ...

'Clock is ticking,' Chairman warns

Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.

The benchmark that has underpinned vast numbers of financial instruments globally is coming to an end. But there is a lively debate around what will ...

As new technologies come along, we need to be sure we’re achieving our core public policy goals

A few weeks ago we reported on an apparent solution between Swiss authorities and the SEC that would open up the pipeline for new RIAs ...

Private equity fund advisers welcoming foreign investors who can potentially exercise certain control in buyout deals involving portfolio companies may well spur a filing