The US Securities and Exchange Commission (SEC) has kept their promise to take up the retail investor protection baton from the Department of Labor and the SEC’s proposed Regulation Best Interest may be another tailwind to US ETFs. Continue reading Why SEC’s Proposal Could Be in Best Interest of ETFs
A US federal appeals court decision may have just dealt the knockout blow to the DoL Fiduciary Rule. Continue reading DoL Fiduciary Rule: Down for The Count?
2018 will be a transitional year for financial regulation as we move from a decade of policy debate to a time of conclusion and implementation in several key areas. Continue reading 2018: A Year of Action
As the saying goes, “the more things change, the more they stay the same.” When thinking about 2017’s global financial regulatory landscape, the sentiment fits nicely. Continue reading 2017: A Regulatory Reflection
News broke Wednesday of a plan to delay the implementation of the Department of Labor (DoL) Fiduciary Rule effective date until at least July 1, 2019. Continue reading DoL Fiduciary Rule Delayed… Again
Looking ahead to the key FinReg issues asset managers will face in the second half of 2017—and beyond.
Continue reading “What We Know— and Don’t Know— about FinReg in the Second Half of 2017”