The fiduciary rule is dead, long live the fiduciary rule

As the DOL fades, the SEC comes out with a new proposal

Peter Rawlings 8 May, 2018

Fiduciary toothpaste

The DOL's rule was struck down, but will firms change their practices?

Peter Rawlings 23 March, 2018


Regulators seem content to bide their time as firms try to address cryptocurrency concerns

Peter Rawlings 14 March, 2018

No free pass

SEC examiners' retail focus doesn't mean CCOs of all stripes shouldn't be on guard

Peter Rawlings 22 February, 2018

Ten years of tinkering and tailoring

Repeating warnings from regulators about off-the-shelf compliance

Peter Rawlings 7 February, 2018

Crypto in the crosshairs

Cryptocurrency's popularity has put it square in regulators' sights

Peter Rawlings 27 January, 2018

A new age

As 2018 dawned, C/Os woke up to a series of new regulatory obligations

Peter Rawlings 16 January, 2018

The court curveball

Compliance departments are grappling with unforeseen changes from recent court rulings

Peter Rawlings 21 December, 2017

Limited budget tango

Regulatory exam teams are trying to stay nimble as they adapt to their resource constrainst

Peter Rawlings 12 December, 2017

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