Quarterly Update: Q2 2018
We highlight what to expect this quarter and recap Q1 2018’s key regulatory developments.
SEC
DoL Fiduciary Rule: Down for The Count?
A US federal appeals court decision may have just dealt the knockout blow to the DoL Fiduciary Rule.
The SEC Liquidity Rule – How to Hit a Moving Target
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:
2017: A Regulatory Reflection
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.
Read the Fine Print: SEC Reporting Modernization Delay
The SEC announced a nine-month filing delay for Form N-PORT, but make sure to read the fine print!