By Joe Mont2017-10-18T15:00:00
The Financial Services Committee has advanced a slate of 22 bills. Among the topics: data protections for the SEC's Consolidated Audit Trail, the thresholds for SIFI designations, supporting emerging growth companies, and killing the Department of Labor’s fiduciary duty rule.
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2018-04-24T11:00:00Z By Joe Mont
With the apparent demise of the Labor Department’s fiduciary rule, the SEC has stepped in to fill the void. Will the proposed Regulation Best Interest aid investors?
2017-11-14T11:45:00Z By Joe Mont
While the Labor Department’s Fiduciary rule for investment advice remains uncertain amid lawsuits and Congressional attacks, the SEC prepares to issue its own version.
2026-02-26T21:47:00Z By Ruth Prickett
Firms offering “buy now, pay later” financing will become part of the regulated financial services sector in the U.K. from July 15. Compliance teams must act now to ensure they are ready to introduce rules and establish creditworthiness assessment processes, adapt systems, and change data processes before the deadline.
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