News

DIM chief’s retention seen as boon to fund industry

Insiders say changes at SEC could remove directors from the crosshairs

Marissa Capodanno 17 February, 2017

Dealers get relief as CFTC weighs substituted compliance

The agency gave swap dealers no-action relief until early May while work on harmonization continues

Jason Bisnoff 17 February, 2017

Mnuchin confirmed as head of Treasury Dept.

Dune Capital founder set to make radical changes to tax, banking laws

Compliance Reporter 16 February, 2017

Swaps industry gets CFTC variation margin relief

Fourteen trade groups had asked the agency to extend the March 1 variation margin deadline

Peter Rawlings 16 February, 2017

The evolution of the hedge fund chameleon: Lessons for compliance

Adapting hedge fund compliance for a shifting landscape

Compliance Reporter 15 February, 2017

FINRA updates arbitration process

The SRO issued a status report on actions recommended by its dispute resolution task force

Jason Bisnoff 15 February, 2017

Compliance eyes Trump memo on Dodd-Frank, fiduciary rule

The president ordered officials to review the controversial regulations

Jason Bisnoff 14 February, 2017

FINRA would allow future performance

Under a proposed rule, brokers distributing fund shares would be allowed to project future performance to potential customers

Stan Wilson 14 February, 2017




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