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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…

Mutual funds and insurance companies eye major swap participant definition

USA - August 27 2012 In April, the CFTC and SEC (the Commissions) finalized rules defining what swap or security-based swap activities will cause a person or company to be a major swap participant or a swap dealer under Dodd-Frank.

FINRA targets broker-dealer conflicts of interest

USA - August 7 2012 FINRA is asking selected broker-dealer firms about conflicts of interest to which they are subject and how they are managing those conflicts.

Richard Choi, Ann Furman

The potential of rising standards for insurance product sales materials

USA - June 4 2012 Litigation always has the potential to influence issuers’ business considerations, including those relevant to the materials used in connection with sales of their products.

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…