Regulators

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

Unproven theory may make firms hostage to P&Ps, side deals

Firm 'continues to lack' compliance infrastructure, regulators claim

RCW talked to experts about how firms can cut down on their risk of SEC deficiencies or enforcement cases stemming from material, non-public information problems. ...

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 ...

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 ...

Knowledge dissolves in information

This new one asks for the adviser’s “internal definition of any terms that relate to” environmental, social and governance and socially responsible investing

Safeguards Rule P&Ps, implementation trip up eight firms

Gensler has tough questions for 'stonks' industry