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SEC seeks cost/benefit data relating to standards of conduct for broker-dealers and investment advisers

USA - March 6 2013 On March 1, 2013, the SEC released a 72-page request (available here) for cost/benefit data and other information relating to different standards of…

Ann Black

FINRA debuts new dispute resolution forum

USA - February 15 2013 FINRA recently announced that its dispute resolution forum is now available for disputes between registered investment advisers that are not member…

Insurers seek to tame a volatile environment

USA - February 15 2013 In the aftermath of the 2008 financial crisis, variable annuity issuers have adapted to the mercurial financial environment by providing updated and…

Perfect storm for money market funds

USA - February 15 2013 The potentially life-threatening regulatory maelstrom in which money market funds (MMFs) now find themselves picked up force in November last year…

Bumps on the road to IFRS

USA - October 30 2012 The SEC staff has issued a Final Report on its Work Plan for considering the incorporation of international financial reporting standards (IFRS) into the U.S. financial reporting system.