Ten Changes to Expect from the SEC’s New Enforcement Program
By Jon N. Eisenberg, Partner at K&L Gates. Investors, borrowers, financial institutions, and the economy were not the only casualties of...
Fixed Income Signals: A Red Alert for Compliance and Valuations?
The SEC recently issued guidance about risk management in the fixed income market in light of the prospect of the Fed tapering its...
Turf War on Systemic Risk Overlooks Key Issues
A January 28th Wall Street Journal article notes that two powerful US regulators, the SEC and the Fed, are in a "turf war" over asset...
Has the U.S. Got it All Wrong?
As my colleagues and I were plowing through the SEC’s latest set of rules—concerning the need for municipal securities advisors to...
Asset Managers “Blind” to Risks of Systemic Regulation?
When the Office of Financial Research (OFR) released a report concluding that asset managers could contribute to “systemic risk,” RFG...
How Sustainable is Your Advantage? Redux.
The ability to obtain information that leads to insights concerning market trends is frequently considered the mark of a savvy investor....