Almost a decade on from the initial attempt, the US Securities and Exchange Commission (SEC) has proposed a new rule that will make bringing an ETF to market faster and less expensive.
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.
We highlight what to expect this quarter and recap Q1 2018’s key regulatory developments.
A US federal appeals court decision may have just dealt the knockout blow to the DoL Fiduciary Rule.
The asset management industry broadly welcomed a delay in implementation to the SEC Liquidity Rule, but the change in course has left many wondering exactly when and how to execute. Here’s what asset managers need to know: