Reading Lounge, Sic Fenra Dolaris
It is no secret that the Securities and Exchange Commission’s (SEC) current priorities have shifted into the world of nonfinancial governance matters. Earlier this year, SEC Chairman Mary Jo White expressed concern about existing disclosure requirements for...
Reading Lounge, Sic Fenra Dolaris
The principal goal of the following protocol is to further the clients’ interests of privacy and freedom of choice in connection with the movement of their Registered Representatives (“RRs”) between firms. If departing RRs and their new firm follow...
Reading Lounge, Sic Fenra Dolaris
BY JOHN LOHR, Esq. The most overused word in the financial industry is “fiduciary”. Skip the technical jargon. In the area of investing it means “The Ethical Treatment of Somebody Else’s Money.” That said, what is all the noise about the DOL’s “New Fiduciary...
Reading Lounge, Sic Fenra Dolaris
Get Ready! On January 12, 2017, the Securities and Exchange Commission released its Office of Compliance Inspections and Examinations’ (OCIE) 2017 priorities which include an increased focus on electronic investment advice, money market funds, financial exploitation...
