Department of Labor Conflict of Interest Rule Expected to Boost Advisors'...
Financial advisors are likely to recommend that their clients increase allocations to exchange-traded funds (ETFs) by 65 percent as a result of the recent Department of Labor (DOL) Conflict of Interest...
View ArticleSEC´s Enforcement Actions Against Investment Advisors Hit Record High
The Securities and Exchange Commission has announced that, in fiscal year 2016, it filed 868 enforcement actions exposing financial reporting-related misconduct by companies and their executives and...
View ArticlePIABA: After Report Detailing BrokerCheck System's Flaws, No Action Has Been...
It´s been two and half years since the Public Investors Arbitration Bar Association (PIABA) reported the “serious deficiencies in the background information provided about financial professionals to...
View ArticleThe Fed Has Broadened Post-Employment Restrictions
The Federal Reserve Board on Friday announced it is broadening the scope of post-employment restrictions applicable to Federal Reserve Bank senior examiners and officers.By law, senior bank examiners...
View ArticleMost Banks Don't Need More Capital, But More Flexibility To Use It
Despite having much stronger capital bases than before the financial crisis, banks around the world remain exposed to capital-related confidence shocks, according to S&P Global Ratings'Most Banks...
View ArticleFINRA´s Regulatory and Examination Priorities 2017
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs. In this year´s letter, Robert W. Cook, President and...
View ArticleFrench Financial Associations Still ‘Very Worried’ About KID Methodology
Eleven French financial associations, including the French asset management association AFG, have issued a statement regarding the evolution of Priips’ draft regulatory technical standards (RTS).French...
View ArticleRaymond James Will Work With AxiomSL
AxiomSL, a risk data management and regulatory reporting technology for financial services firm, will provide an array of broker dealer (BD) and bank holding company (BHC) data aggregation and...
View ArticleThe FSB Recommendations Reflect a More Balanced View of the Asset Management...
According to a press release, EFAMA welcomes the FSB Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities on 12 January 2017, which come as the result of an...
View ArticleDoor Launches Digital Platform for Fund Selector Due Diligence
Door has launched its first digital platform to streamline the fund due diligence process between asset managers and fund investors. During this intial launch phase, 18 global asset managers will now...
View ArticleAs Rules Regarding the Creation of Synthetic ETFs Become More Stringent, They...
According to Agnieszka Gehringer and Kai Lehmann, members of the Research Institute of Flossbach von Storch, ETFs go beyond passive investment, due to their hyper trading activity and the latest...
View ArticleArcano: "Without Retrocession, the Absence of Conflict of Interest and...
The market environment is still favorable but we will have to be cautious with the policies of the central banks. For 2018, Íñigo Susaeta, Managing Partner of Arcano Family Office, favors short-term...
View ArticleInternational Wealth Protection Clarifies and Validates the Tax Benefits of...
The utilization of Private Placement Life Insurance has been considered as a planning strategy for wealthy Peruvian families as a result of the enactment of Peru’s Controlled Foreign Company (CFC)...
View ArticleMost Banks Don't Need More Capital, But More Flexibility To Use It
Despite having much stronger capital bases than before the financial crisis, banks around the world remain exposed to capital-related confidence shocks, according to S&P Global Ratings'Most Banks...
View ArticleFINRA´s Regulatory and Examination Priorities 2017
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs. In this year´s letter, Robert W. Cook, President and...
View ArticleFrench Financial Associations Still ‘Very Worried’ About KID Methodology
Eleven French financial associations, including the French asset management association AFG, have issued a statement regarding the evolution of Priips’ draft regulatory technical standards (RTS).French...
View ArticleRaymond James Will Work With AxiomSL
AxiomSL, a risk data management and regulatory reporting technology for financial services firm, will provide an array of broker dealer (BD) and bank holding company (BHC) data aggregation and...
View ArticleThe FSB Recommendations Reflect a More Balanced View of the Asset Management...
According to a press release, EFAMA welcomes the FSB Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities on 12 January 2017, which come as the result of an...
View ArticleDoor Launches Digital Platform for Fund Selector Due Diligence
Door has launched its first digital platform to streamline the fund due diligence process between asset managers and fund investors. During this intial launch phase, 18 global asset managers will now...
View ArticleAs Rules Regarding the Creation of Synthetic ETFs Become More Stringent, They...
According to Agnieszka Gehringer and Kai Lehmann, members of the Research Institute of Flossbach von Storch, ETFs go beyond passive investment, due to their hyper trading activity and the latest...
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