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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.


Financial Services Update, Vol. 12, Issue 26

USA - July 10 2017 SEC Chairman Jay Clayton testified on June 27 to the Senate Appropriations Committee’s Legislative Branch Subcommittee. He said that the SEC will...

Basil V. Godellas, Sterling Sears.


Financial Services Update, Vol. 12, Issue 25

USA - June 26 2017 Last Thursday, federal bank regulators testifying at a hearing conducted by the U. S. Senate Banking Committee expressed recognition of the need to...

Julius L. Loeser, Basil V. Godellas.