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Regulations

The Dodd-Frank Rohrschach Test: Repeal, Rollback, or Reinforcement?
Supporters of the rollback have touted these elements as a victory for small to mid-size regional and community banks. Read More
Nels Ylitalo
on May 30, 2018
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. Read More
Nels Ylitalo
on Apr 25, 2018
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... Read More
Barrie C. Ingman
on Mar 14, 2018
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. Read More
Philipp Zerhusen
on Feb 21, 2018
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... Read More
Nels Ylitalo
on Oct 3, 2017
Complying with Sanctions is About Who (and What) You Know
In a world of global networks, how can firms stay clear of sanctions missteps? Read More
Drake Bushnell
on Aug 17, 2017
BMR Compliance: What Benchmark Users Should Know
Despite a grace period, it's critical to understand the compliance obligations of this pending regulation. Read More
Nels Ylitalo
on Aug 15, 2017
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? Read More
Fran Reed
on Aug 1, 2017
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... Read More
Fran Reed
on May 30, 2017
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. Read More
Fran Reed
on May 17, 2017
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. Read More
Fran Reed
on May 11, 2017
Webcast: The Challenges of Research Unbundling Under MiFID II
Missed our live MiFID II webcast? Catch the replay. Read More
Fran Reed
on Apr 27, 2017

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