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" rules we think could apply to investors and managers. Of course, some rules can go either way depending on a firm's activities. But: the chart would be even more densely packed if it included state, foreign and a complete list of U.S. federal requirements. Being unaware of these laws is like crossing the street blindfolded.

Source image:

Recent Posts

See All

COVID-19 Tax Relief and a Chance for Redemption

Recently, the once-stellar reputation of charitable organizations was getting a bit tarnished. As the press reported various scandals and investigations of endowed organizations, endowments were somet

RFG Keeps Clients Updated on LIBOR Transition

Following the SEC’s statement on LIBOR transition, some investment advisers are offering up disclosures on the topic. But are mere disclosures sufficient? To find out, RFG invited Adam Schneider and S

Our Blog

© 2020 The Regulatory Fundamentals Group LLC | Terms of Use and Privacy Policy