Since the Financial Crisis of 2008, financial regulations have grown (some say out of control). The purpose, of course, is to prevent another global catastrophe. Yet now approaching ten years later, some of those rules and regulations are being scaled back. Which leads to the question: where do we go from here. The debate centers […]
RIA firms with a fiscal calendar ending on December 31st have until March 31st to file their updated ADVs with the SEC. In addition, following the SECs new requirements (adopted last summer), there are 8 changes required on the Form ADV for firms filing after October 1. The purpose of the new data is to […]
The likelihood of independent adviser exams is declining as the SEC experiences post election changes. Former SEC Chairwoman Mary Jo White had drafted a regulation to outsource some exams to third parties. However, following Ms. White’s departure, increased Republican resistance and a reorganization of SEC assets, it looks like that plan will fade. In 2015, the agency’s Office of Compliance […]
Washington continues to see changes following the election of Donald Trump. The SEC is one agency where the change will likely be dramatic. Mary Jo White served as Chair of the SEC from April 2013 – January 2017. Ms. White, a former U.S. Attorney, was known for her aggressive prosecutorial tendencies and the SEC under […]
The SEC is ramping up its enforcement. The Division of Enforcement has established new groups that will concentrate on specific parts of the market. This more narrow scrutiny will focus primarily on mutual funds/assets under management. The SEC believes that this specialized enforcement will serve to reduce and contain risks within investment management. Fund companies […]
Click to read the full article: SEC gave investors half a loaf in arb panel ruling – Investment News
Click to read the full article: Advisers’ fear factor spikes amid SEC social-media ‘sweep’ – Investment News
