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
The SEC continues to expand the scope of responsibilities and standards applicable to gatekeepers.
In an application of the Investment Advisers Act of 1940 (Advisers Act) to the actions of a nonadviser fund service...more