Covering legal developments and regulatory news for registered funds, their advisers and industry participants through June 30, 2019.
Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships -
On...more
7/19/2019
/ Broker-Dealer ,
Capital Formation ,
Common Reporting Standard (CRS) ,
Conflicts of Interest ,
Duty of Care ,
Duty of Loyalty ,
ETFs ,
Fiduciary Duty ,
Financial Markets ,
Financial Services Industry ,
Form CRS ,
Investment Management ,
Investor Protection ,
Public Comment ,
Regulation Best Interest ,
Regulation S-X ,
Regulatory Standards ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
As required by President Trump’s Executive Order 13772, the U.S. Department of the Treasury issued a report, “A Financial System That Creates Economic Opportunities, Asset Management and Insurance,” addressing the regulatory...more
10/31/2017
/ Asset Management ,
Business Continuity Plans ,
CFTC ,
Commodities ,
Commodity Pool ,
Consumer Financial Products ,
Department of Labor (DOL) ,
Derivatives ,
Dodd-Frank ,
Employee Benefits ,
ETFs ,
Executive Orders ,
Fiduciary Duty ,
Fiduciary Rule ,
Financial Services Industry ,
FSOC ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Management ,
Liquidity Risk Management Rule ,
Registration Requirement ,
Regulatory Oversight ,
Risk Assessment ,
Risk Mitigation ,
Securities and Exchange Commission (SEC) ,
Stress Tests ,
Trump Administration ,
U.S. Treasury