Financial regulations

Attorneys, compliance experts and marketers weigh in on the regulator’s first update to advertising compliance in decades.

Existing regulations that protect investors and deliver clarity to the industry must be preserved by the incoming administration, writes Financial Services Institute CEO Dale Brown.

The former U.S. attorney for the Southern District of New York was also once a top aide to Senate Minority Leader Chuck Schumer.

OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.

With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.

But the regulator also ordered record payouts in 2020, including restitution through a self-reporting program that drew industry ire.

The rule has faced a host of criticism from investors, environmentalists, asset managers and others.

Unclear — or no — disclosures were among a number of concerns regulatory officials expressed about initial examinations.

Although in-person hearings aren’t banned outright, none have taken place since the onset of the coronavirus pandemic.

The Managed Funds Association urged the agency to do more analysis before moving forward.