SEC enforcers increasingly collaborate with OCIE on exams

At the same time, the rate of enforcement referrals is on the decline

Jason Bisnoff 4:38 PM ET

EC to add sustainability mandate to Mifid II

Move aimed at protecting investors from risks related to sustainability

Stan Wilson 4:25 PM ET

SEC eyes disclosure for fiduciary standard proposal

The SEC is working on its own standard of conduct as the DOL’s rule was struck down

Jason Bisnoff 21 March, 2018

Ex-DIM chief, deputy join Stradley Ronon

David Grim and Sara Crovitz will be partners in the D.C. office

Peter Rawlings 21 March, 2018

SEC enforcers strive for flexibility in share class self-reports

The agency’s Stephanie Avakian said the commission would try to accommodate requests for more time to report

Jason Bisnoff 20 March, 2018

DIM chief: ETF proposal a top priority

Dalia Blass also said the use of the ETF name may need to be clarified

Peter Rawlings 20 March, 2018

CCOs struggle with Form ADV custody updates

IAs may need to update the filing in the wake of last year’s guidance

Jason Bisnoff 19 March, 2018

Appeals court knocks out DOL rule

The court called the rule unreasonable

Noah Zuss 19 March, 2018

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