News

Funds turn to Trump to win CFTC recordkeeping fight

Industry hoping Trump’s call for more efficient regulation will finally eliminate duplicative recordkeeping

Stan Wilson 5:23 PM ET

SEC rulemakers greet Clayton with third-party exam, disclosure plans

The Division of Investment Management has continued work on existing initiatives as it awaits the confirmation of a new chair

Jason Bisnoff 28 March, 2017

Clayton under fire over conflicts

Mergers & acquisitions lawyer faced tough questions from Sen. Warren

Compliance Reporter 27 March, 2017

SEC ramps up ETF oversight coordination

The Commission has sought to adapt to growth in the ETF space

Jason Bisnoff 27 March, 2017

News roundup: Fed gives banks living will extension; BoE tests Brexit impact

Today’s compliance news from around the web

Peter Rawlings 27 March, 2017

Clayton: SEC should target individuals

The nominee outlined his enforcement philosophy during a confirmation hearing

Peter Rawlings 24 March, 2017

Treasury unit seeks to streamline reporting

The Office of Financial Research has a new initiative to reduce regulatory reporting

Peter Rawlings 24 March, 2017

News roundup: PwC settles MF Global suit; Warren wants SEC to eye Icahn

Today’s compliance news from around the web

Peter Rawlings 24 March, 2017

New admin won’t halt fiduciary investigations

The election of Donald Trump will not stop investigators at the Department of Labor from going after plan fiduciaries.

Max Viscio 23 March, 2017

State regs seek SEC representation

NASAA has released is new legislative priorities

Jason Bisnoff 23 March, 2017




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