Regulatory Update Series

Quarterly Regulatory Update: Second Quarter 2017

In this Edition: Investment advisors and regulators step up focus on cybersecurity; A bit of paperwork helps advisors avoid inadvertent custody of client assets; Fiduciary Rule’s future starting to come into better focus; Puerto Rican bond holders may face long wait as island works through Title III proceedings; Merger & acquisition activity slows despite anticipated soft regulatory touch.

Quarterly Regulatory Update: First Quarter 2017

Our February edition is traditionally a look at the year ahead, and with a new US administration looking to roll back many of the regulations passed in recent years, there’s plenty to cover. We discuss several areas to watch including banks, tax reform, mutual funds, hedge funds, and private equity. In this edition we also cover recent developments that may create more challenges for active managers—the US Department of Labor’s Fiduciary Rule and a spate of lawsuits against 401(k) and 403(b) plan sponsors.

Quarterly Regulatory Update: Fourth Quarter 2015

In this Edition: Market illiquidity concerns prompt additional regulations, investor solutions New liquidity regulations designed to reduce risk and create global alignment also raise questions of applicability Collateralized loan obligation changes create interesting potential risk/reward opportunity IRS pushes back key FATCA deadlines again Market Illiquidity Continues to Raise Concerns Spurs New Trading Platform Developments We…