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SEC Hits Pause Button on Fiduciary Standard

A top priority just months ago, it now appears the Securities and Exchange Commission (SEC) will hold off on implementing a new fiduciary rule for brokers. The delay has ruffled a few feathers among...

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Solvency II â Impacts on Asset and Fund Managers

The Solvency II regime for insurance companies will require firms to disclose their capital and risk frameworks, but also to demonstrate how and where the requirements are embedded in their wider...

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Things to Know Before the SEC Comes Calling

If you are registered with the SEC or your state securities regulator, expect that one day, you will be examined – and that they will show up when you least expect it.read more...

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Social Media: What a Difference a Year Makes

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Best Practices Events â The first stop on the EMEA roadshow

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New Advisor Apps Showcased at Finovate

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Best Practices Events â Second stop on the EMEA roadshow: Zurich

We’ve just completed our second Best Practices roadshow in Zurich, and the Swiss wealth management industry’s top issues made for some really interesting discussions.read more...

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The Cloud is Transforming Investment Management

The effects of the financial crisis, namely more cautious investors and greatly increased reporting and compliance burdens, have placed significant pressure on firms’ operations.  Moving forward,...

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Best Practices Events â Third stop on the EMEA roadshow: London

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iPads and Androids and FuseboxâOh, My!

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Are Social Media Privacy Laws a Green Light for Misconduct?

If you live in California, Maryland, or Illinois, new legislation will prevent your employer from demanding access to your Facebook, Twitter, and other social media accounts, and Congress has proposed...

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Central Clearing of Derivatives: Clearing the Confusion

By the end of 2012, the majority of trades in over-the-counter derivatives will have to be executed through Swap Execution Facilities (SEFs), directed through Derivative Clearing Member (DCM) banks and...

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Best Practices Events â Fourth stop on the EMEA roadshow: Dubai

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Hedgies Rush to Register with the SEC

We all knew it was coming. Depending on your point of view, you either feared it or cheered it. And now it’s here: Thousands of private fund advisers have registered with the SEC per Dodd-Frank...

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To Blog or Not to Blog: New Regulations for Social Media

Social media just got more regulated. New rules from FINRA and the SEC go into effect next February. Are you ready?read more...

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Sandy Shines Spotlight on Disaster Recovery and Business Continuity

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Best Practices Events â Final stop on the EMEA roadshow: Oslo

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SEC Cracks the Whip on Advisors

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Thereâs a New Sheriff at the SEC

After months of speculation, Mary Schapiro has officially stepped down after a nearly four year stint as SEC Chair. Her term, which officially ends December 14, has been anything but boring and is...

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Dodd-Frank: A Jobs Program for Wall Street?

Too many rules. So many restrictions. Downsizing and layoffs. Everyone knows Dodd-Frank is a job killer for Wall Street professionals—right?read more...

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