Regulation Best Interest and Related Proposals: Critical Investor Protection or Industry Headache?
Reg BI would impose a new “best interest” standard on broker-dealers when making investment recommendations to retail customers.
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N-PORT: How a Delay in Onerous New Rules Actually Leads to More Work
This article provides a gentle introduction to Form N-PORT and looks at the impact that the recent delay to its commencement...
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The Road to MiFID II and PRIIPs Compliance is Not Without Bumps
Ultimately the manufacturers may pay the price for a continued inability to fully comply with these regulations.
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Determining Your Compliance Obligations Under the BMR
Answering the deceptively simple question of whether your firm is a "benchmark user" or "benchmark provider" for purposes of...
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Complying with Sanctions is About Who (and What) You Know
In a world of global networks, how can firms stay clear of sanctions missteps?
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BMR Compliance: What Benchmark Users Should Know
Despite a grace period, it's critical to understand the compliance obligations of this pending regulation.
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How to Dismantle Dodd-Frank: A Matter of CHOICE
The proposed CHOICE Act is controversial among some Republicans and even the banking industry. Will it replace Dodd-Frank?
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Fiduciary Rule on Pace for June, but Changes May Be Close
While the decision not to delay the Fiduciary Rule further may save it for the time being, the rules replacement still seems...
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Firms Split on Expected Changes to Costs, Resources under MiFID II
Our recent survey reveals how UK-based buy-side firms see MiFID II changing the financial landscape.
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MiFID II: 5 Research Unbundling Challenges That Could Affect You
Here's what to watch for and how other buy-side firms are addressing these challenges.
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How to Dismantle Dodd-Frank: The Replacement Options
We examine the two leading candidates (along with a third possibility) for filling the void left by a successful repeal of the...
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How to Dismantle Dodd-Frank: The Challenges
The challenges of delivering on deregulation are formidable, with perhaps the biggest obstacle being procedural.
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