Regulators

A final DOL fiduciary duty rule appears to be getting closer

Rules on hold after Fifth Circuit pause, but managers may need to prepare

'You cannot get deals if you’re not texting and your competitors are,' FirmScribe CEO says from PFCFO New York Forum.

Nonbinding vote another signpost on Gary Gensler’s long and fraught road to reform

'Healthcare markets are a key site' in battle to reshape American society, top trustbuster says

FinCEN wouldn’t mandate that an RIA’s CCO oversee its AML program. However, it does point out that “the presence of a compliance officer may reduce ...

You have until April 15th to comment on the FinCEN proposal

If your firm manages a donor advised fund, hurry. You have until Thursday to comment to the IRS about a new proposal that could tax ...

Peirce decries 'fancy legal footwork' behind new guidance

Three trade groups representing private fund managers have sued to block a pair of “arbitrary and capricious” SEC rules designed to bring more sunlight into ...