What Causes CCOs to have Personal Liability?
Recently, the SEC has been having an internal debate regarding holding CCOs personally responsible for a firm’s misconduct. In June,...
What to Make of a Market Meltdown
Since there's been so much activity in the market lately, we've been wondering how it might impact regulators. Here are some thoughts...
Care When Approving Advisory Contracts, The Next Big Issue?
The SEC and media are driving scrutiny on the topic of advisory contracts: looking ahead, this could be the next big issue, with...
Ethical behavior: the standard society aspires to or the one it accepts?
The press and plaintiff’s bar delight in reporting that pervasive ethical problems plague financial services companies. The most recent...
Perspectives on Systemic Risk
On April 8 the International Monetary Fund issued a report, “Navigating Monetary Policy Challenges and Managing Risks”, with a chapter...
Crossing the Street Blindfolded
Thanks to the SEC, we have a snapshot of the countless rules that bank holding companies must comply with. RFG has highlighted a "few"...