Searching Content indexed under Fund Management/ REITs by Hillel Cohn ordered by Published Date Descending.
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The SEC's Standard Of Conduct Proposals Would Raise The Bar On Investment Advisers
According to the Securities and Exchange Commission (SEC or "Commission"), its April 18, 2018 release proposing an interpretation of the standard of conduct for investment advisers ("Adviser Conduct Release") ...
United States
30 Apr 2018
SEC Proposes A New Standard of Care for Broker-Dealers: Regulation Best Interest
For many years, the distinction between investment advisers and broker-dealers was clear: investment advisers were counselors who were expected to provide advice ...
United States
26 Apr 2018
First State Charges Broker-Dealer In Connection With Violations Of DOL Fiduciary Rule
On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the "Division") of the Office of the Secretary of the Commonwealth charged a registered broker-dealer ...
United States
21 Feb 2018
The Fiduciary Rule Poll
The US Department of Labor's (DOL) fiduciary standard rule has been befuddling the financial services industry for the past seven years.
United States
5 Oct 2017
DOL Fiduciary Rule Delayed By 60 Days
Late in the day on April 4, 2017, the Department of Labor ("DOL") made publicly available its final rule...
United States
12 Apr 2017
DOL Issues Additional Guidance On Fiduciary Rule
On January 13, 2017, the U.S. Department of Labor ("DOL") issued a second set of guidance on its new fiduciary rules, which are scheduled to become effective on April 10, 2017.
United States
31 Jan 2017
Capital Acquisition Brokers: New Category Of Broker-Dealers Provides Limited Relief For Some Investment Banking Boutiques
The SEC recently approved a set of FINRA rules which creates a new category of broker-dealers known as Capital Acquisition Brokers or CABs.
United States
20 Sep 2016
Private Equity Fund Manager Sanctioned For Acting As Unregistered Broker-Dealer
A recent SEC enforcement action against a private equity fund manager highlights the SEC's renewed focus on transaction-based compensation received by investment managers...
United States
13 Jun 2016
Implications Of The DOL Fiduciary Rule For Structured Products
On April 6, 2016, the Department of Labor ("DOL") issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account.
United States
16 May 2016
Final Department Of Labor Fiduciary Regulations Under ERISA
DOL issued its long-anticipated final regulation defining who is a fiduciary as a result of giving investment advice to plans subject to ERISA, to participants or beneficiaries of these plans, or to IRAs.
United States
14 Apr 2016
The Volcker Rule Prohibition On Proprietary Trading: Considerations For Broker-Dealer Affiliates Of Foreign Banking Organizations
The Volcker Rule imposes significant restrictions on "proprietary trading" by banking organizations and their affiliates.
United States
16 Jan 2014
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