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Financial Services Update Volume 13, NO.18

USA - May 9 2018 According to a Wall Street Journal article published on May 1, 2018, a group which includes senior SEC and CFTC officials is scheduled to meet and...

Basil V. Godellas.


Financial Services Update - Volume 13, No. 17

USA - April 30 2018 On April 26, Commodity Futures Trading Commission (“CFTC”) Chairman Christopher Giancarlo and the agency’s Chief Economist Bruce Tuckman released a...

Basil V. Godellas.


Financial Services Update - Volume 12. No. 40

USA - November 1 2017 In response to President Trump’s request for a reexamination of financial regulations via a “Presidential Executive Order on Core Principles for...

Basil V. Godellas.


Financial Services Update - Volume 12, No. 39

USA - October 16 2017 Efforts to repeal the Department of Labor’s (“DOL’s”) fiduciary rule are already well underway. On October 12th, the House Financial Services...

Basil V. Godellas.


Financial Services Update, Vol. 12, Issue 38

USA - October 9 2017 The Securities and Exchange Commission (SEC) issued 16 new ADV FAQs on September 29, 2017, two days before the revised form ADV took effect. Form ADV...

Basil V. Godellas.