SEC
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Will MiFID II RPAs Survive?
By Shanny Basar
September 15, 2017, Markets Media
The announcement by BlackRock, the world’s larger asset manager, that it will absorb payments for research has led to a debate over …
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U.S. Companies Transformed into 800lb Gorilla in Bond Market
By Eric Platt, Nicole Bullock, and Alexandra Scaggs
September 12, 2017, Financial Times
Apple, Alphabet, and Microsoft are among a host of top-tier US companies that have become a force …
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Regulators Descend on Booming ETF Market
By Jennifer Thompson
September 10, 2017, Financial Times
The phenomenal growth of exchange traded funds over the past quarter of a century has not escaped the attention of regulators, who …
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Trump Dampens ETF Market Optimism
By Attracta Mooney
September 10, 2017, Financial Times
Like many of Barack Obama’s big ideas, the fiduciary rule had ardent backers as well as fervent opponents.
“It’s a very simple …
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Firms Race to Apply Machine Learning to Liquidity Risk Models
By Faye Kilburn
September 8, 2017, Risk
With little more than a year to go until the U.S. Securities and Exchange Commission’s liquidity risk management rules come into effect, mutual …
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MiFID II: SEC Poised to Issue No-Action Relief
By John Crabb
September 6, 2017, Waters Technology
Following months of speculation, there could finally be some clarity on how the Securities and Exchange Commission (SEC) plans to address a …
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Dalia Blass Could Tackle Fiduciary Standard as First Order of Business at SEC
By Mark Schoeff Jr.
September 6, 2017, InvestmentNews
Dalia Blass’ first order of business as head of the Securities and Exchange Commission’s Division of Investment Management could be to shape …
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SEC Chief Wants Investors to Better Understand Cyber Risk
By Dave Michaels
September 5, 2017, The Wall Street Journal
The chairman of the Securities and Exchange Commission said Tuesday that regulators and Wall Street need to do more to …
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Bank Loan Funds in the Dark Over Liquidity Rules
By Faye Kilburn
September 6, 2017, Risk
U.S. bank loan funds are struggling to comply with new rules from regulators that require them to hold a buffer of highly liquid …
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MiFID I Came Before MiFID II
By Thomas Krantz, Thomas Murray
Originally published on the Thomas Murray Data Services Blog and the TabbFORUM
The arc of regulatory history has tended toward complexity, with its attendant difficulties …
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