Bump in the road

After a pause, the SEC's administrative proceedings are up and running again

Peter Rawlings 11 September, 2018

A big meal

Industry feedback on Reg. BI has left the SEC with dozens of questions and comments to digest

Peter Rawlings 24 August, 2018

The form of a form

The SEC received thousands of form letters on Reg. BI, but how should they threat them?

Peter Rawlings 10 August, 2018

Those who wait

If patience is a virtue, those in the exchange-traded fund industry are approaching sainthood

Peter Rawlings 13 July, 2018

Dead and going

Recent challenging regulations are dying, but compliance teams still face a difficult road ahead

Peter Rawlings 28 June, 2018

Seeing beyond

CCOs need to keep one eye abroad

Peter Rawlings 6 June, 2018

Pay-to-play today

Another round of elections is already almost here, and with it a renewed warning for compliance officers

Peter Rawlings 22 May, 2018

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

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