Tag:
Investment Advisers
Latest Headlines
Latest Headlines
Importance of RIA compliance
One of the great unanswered questions of the new Dodd-Frank era is this: How will registered investment advisors be regulated? Will the SEC retain the chore? Will Finra get tapped for this task? Some
Hedge compliance burden grows
Some people think the hedge fund industry was treated lightly by the historic Dodd-Frank legislation. But they would be wrong to assume the general registration requirement will be a piece of cake
Are the SEC's pay proposals a good start?
The broad contours of bank pay regulation are increasingly coming into focus. The SEC has now weighed in, as it was required to by Dodd-Frank, with some proposals to regulate compensation at a host
SEC recommends fiduciary standard for brokers
The investment advice industry has been in anguish over the fiduciary vs. suitability debate as of late. The debate hit a milestone last week when the SEC released a study that recommended all
