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 5:32 PM ET

Ex-DIM chief, deputy join Stradley Ronon

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

Peter Rawlings 5:21 PM ET

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

SEC backpedals on liquidity disclosure

Regulator slates review of bucket reporting requirement in 2020

Stan Wilson 16 March, 2018

Credit Suisse pays $450,000 in two FINRA settlements

FINRA said the firm had problems with its options reporting and recordkeeping

Peter Rawlings 16 March, 2018

News roundup: Fifth Circuit vacates fiduciary rule; Ex-SEC adviser joins Citadel

Today’s compliance news from around the web

Peter Rawlings 16 March, 2018

Inquire About Membership

Fund Intelligence membership gives your firm access to an unique analysis and networking platform providing actionable data, insights and contacts that enable you to raise capital, comply with regulation and benchmark against peers.

  • Seven specialist networks for the latest industry trends
  • Direct access to actionable industry intelligence
  • Benchmarking data for flows, performance and product development
  • Peer group and allocator/advisor networking opportunities
  • Compliance data and tracking tools
  • Access to networking events and educational webinars
  • Access to our team of dedicated analysts and account handlers