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Searching Content indexed under Compliance by Hillel Cohn ordered by Published Date Descending.
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DOL Issues Request For Information Regarding Fiduciary Rule
On June 29, 2017, the Department of Labor ("DOL") issued a Request for Information ("RFI") in connection with its examination of the Final Fiduciary Rule, which was published on April 8, 2016, and became applicable on June 9, 2017.
United States
13 Jul 2017
2
DOL Issues First Guidance On Fiduciary Rule
On October 27, 2016, the U.S. Department of Labor (DOL) issued initial guidance on its new fiduciary rules, which are scheduled to become effective on April 10, 2017.
United States
7 Nov 2016
3
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
4
Referral Fees And Commission Sharing: When May Broker-Dealers Share Their Fees With Non-Brokers?
FINRA filed proposed rule changes with the SEC addressing when broker-dealers may pay referral fees or otherwise share compensation with persons who are not registered as broker-dealers.
United States
22 Oct 2014
5
Chipping Away At Barriers To Global Financial Services: SEC Staff Addresses Issues For Foreign Broker-Dealers Under Rule 15a-6
Noting the increasingly global nature of financial markets, the U.S. Securities and Exchange Commission adopted Rule 15a-6 nearly twenty four years ago.
United States
15 Apr 2013
6
Good Walls, Better Compliance: OCIE’s Report
On September 27, 2012, the Staff of the SEC’s Office of Compliance Inspections and Examinations published a summary of examinations.
United States
8 Oct 2012
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