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‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInFidelity’s Folly- Part II – Law and Economics in Capital Markets
I would suspect that the DOL was addressing Fidelity when it issued the CAR. As any lawyer will tell you, Fidelity is essentially telling the regulator to shove it. Fidelity knows that the CAR has not been withdrawn. In my experience, regulators hate to be ignored. *** Sooner or later, I suspect someone will write […]
Can the SEC and DOL really harmonize advice standards for brokers and advisers? — InvestmentNews
As regulators struggle to harmonize retail-advice rules, blending them into a single fiduiciary standard, count on hearing some sour notes from the industry. In fact, nowhere is the debate over investment advice standards more discordant than surrounding the term “harmonization.” Over the next two years, harmonization will be at the heart of the work of […]
Clayton says SEC can’t simply take over DOL fiduciary rule — Investment News
Industry opponents of the Labor Department’s fiduciary rule want the Securities and Exchange Commission to swoop in and take over rulemaking on investment advice standards, but the agency can’t simply stop the DOL regulation, SEC Chairman Jay Clayton said Tuesday. via Clayton says SEC can’t simply take over DOL fiduciary rule — Investment News
July 14 Webcast: The Department of Labor’s New Conflict of Interest Regulations–A Game Changer for the Financial Services Industry
Please join Brad Bondi and Michael Wheatley of Cahill Gordon & Reindel for this free webcast.