In a series of three “no-action” letters, the staff of the Securities and Exchange Commission (SEC) published guidance to address concerns by U.S. broker-dealers and investment advisers about how to comply with Markets in...more
In This Issue:
- What to Expect in 2015
- EU Regulatory Agenda: Into 2015
- FINRA Issues Report Relating to its Communication Rules
- Structured Product Offerings and RIAs
- The SEC, Investment Funds and...more
12/24/2014
/ Banking Sector ,
Banks ,
Derivatives ,
EU ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Regulatory Reform ,
Investment Adviser ,
Investment Funds ,
Securities and Exchange Commission (SEC) ,
Structured Financial Products