Why the Regulatory Focus on Cybersecurity?
Two separate, but related, forces are causing financial regulators to up the ante on cybersecurity. First, and most long-standing, is a...
A GPS for Your Inevitable Cyber-Incident
Just as stage coach operators needed to protect their business, drivers and customers from bandits in the days of the "wild west,"...
What the Regulators are Brewing this Halloween
RFG is celebrating Halloween with a "treat" for those interested in our thoughts on impending regulation. Read on to see what's brewing...
The Regulatory Fundamentals Group Launches Online Regulatory Platform For Non-Profit Investment Offi
The Regulatory Fundamentals Group (RFG), a leading strategic and regulatory insights advisory firm for institutional investors and...
Regulators Saying “Think for Yourself”
n a week where the SEC shared its thoughts about the state of newly-registered investment advisers, noting continued marketing and...
Market Manipulation Remains High Priority
Expect the focus on manipulative behavior to continue for the foreseeable future. Last week CFTC Chairman Timothy Massad told the Senate...
SEC Releases Form PF Report
The SEC published its second annual report regarding its use of data collected on Form PF, noting that it continues to use the data in...
New Systemic Risk Approach to Cast a Wider Net?
Two significant developments last week shed light on the issue of how U.S. regulators may address systemic risk. The Office of Financial...
A New Approach to Regulation Gains Traction
The head of the European Securities and Markets Authority (ESMA) recently gave a speech (here) addressing potential systemic risk in the...
Under Scrutiny: Board Leadership
Last month SEC Commissioner Kara Stein said that “gatekeepers" should be the focus of regulatory attention because they are in a position...