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Articles

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Broker-Dealers Can Hold Customers’ Initial Checks

USA - December 22 2016 A recent SEC no-action letter gives broker-dealers more time to perform suitability and other reviews when opening certain customer accounts. The...

SEC Watchdog to Watch Watchdog

USA - December 22 2016 The SEC’s Office of Compliance Inspections and Examinations (OCIE) has established a dedicated team charged specifically with inspecting FINRA and...

SEC Curious About Mutual Fund Unicorns

USA - October 13 2016 The Securities and Exchange Commission (SEC) staff has reportedly been asking mutual funds how they value their investments in “unicorns” - i.e...

SEC Probes Share Class Recommendations

USA - October 13 2016 In July, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced an initiative to identify...

NAIC Round-up: Selected Recent Developments At The National Association Of Insurance Commissioners

USA - July 26 2016 An NAIC working group is considering how to revise provisions in its model regulations governing the content of the policy summary required in life...

Josephine Cicchetti.