SEC Hits Pause Button on Fiduciary Standard
A top priority just months ago, it now appears the Securities and Exchange Commission (SEC) will hold off on implementing a new fiduciary rule for brokers. The delay has ruffled a few feathers among...
View ArticleSolvency II â Impacts on Asset and Fund Managers
The Solvency II regime for insurance companies will require firms to disclose their capital and risk frameworks, but also to demonstrate how and where the requirements are embedded in their wider...
View ArticleThings to Know Before the SEC Comes Calling
If you are registered with the SEC or your state securities regulator, expect that one day, you will be examined â and that they will show up when you least expect it.read more...
View ArticleBest Practices Events â Second stop on the EMEA roadshow: Zurich
Weâve just completed our second Best Practices roadshow in Zurich, and the Swiss wealth management industryâs top issues made for some really interesting discussions.read more...
View ArticleThe Cloud is Transforming Investment Management
The effects of the financial crisis, namely more cautious investors and greatly increased reporting and compliance burdens, have placed significant pressure on firmsâ operations. Moving forward,...
View ArticleAre Social Media Privacy Laws a Green Light for Misconduct?
If you live in California, Maryland, or Illinois, new legislation will prevent your employer from demanding access to your Facebook, Twitter, and other social media accounts, and Congress has proposed...
View ArticleCentral Clearing of Derivatives: Clearing the Confusion
By the end of 2012, the majority of trades in over-the-counter derivatives will have to be executed through Swap Execution Facilities (SEFs), directed through Derivative Clearing Member (DCM) banks and...
View ArticleHedgies Rush to Register with the SEC
We all knew it was coming. Depending on your point of view, you either feared it or cheered it. And now itâs here: Thousands of private fund advisers have registered with the SEC per Dodd-Frank...
View ArticleTo Blog or Not to Blog: New Regulations for Social Media
Social media just got more regulated. New rules from FINRA and the SEC go into effect next February. Are you ready?read more...
View ArticleThereâs a New Sheriff at the SEC
After months of speculation, Mary Schapiro has officially stepped down after a nearly four year stint as SEC Chair. Her term, which officially ends December 14, has been anything but boring and is...
View ArticleDodd-Frank: A Jobs Program for Wall Street?
Too many rules. So many restrictions. Downsizing and layoffs. Everyone knows Dodd-Frank is a job killer for Wall Street professionalsâright?read more...
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