Linda Rittenhouse, JD, is a director of capital markets policy at CFA Institute. She focuses primarily on issues related to investment products and investment regulation. Rittenhouse holds a JD degree.
CFA Institute urges three approaches that will clarify that only registered investment advisers can provide personalized investment advice, as well as clarify the role of broker-dealers.
The asset management industry does not pose the same types of systemic risks to the economy as the banking industry does, and the US Treasury agrees.
The timeline for when all investors can expect their best interest to be honored just got longer with another delay in the applicability of the DOL’s fiduciary rule.
The DOL provide some clarity to the investment industry about its obligations while providing protection to retirement investors through a best interest standard. Categories: Fiduciary Duty
Trump administration delays implementation of new fiduciary rule to review potential effect on investors’ access to retirement information and financial advice
No one really knows at this point what impact President-elect Trump or the cabinet that he puts together will have on the global economy, capital markets, or financial industry.
The future of the DOL rule is somewhat uncertain, but the changes probably won’t happen fast and the rule may actually already be established. Categories: Fiduciary Duty; Standards, Ethics, and Regulations (SER)
The Financial Stability Board believes there are structural vulnerabilities in asset management activities that need to be addressed even though the industry is different from other financial sectors.
CFA Institute survey results reveal that more than 50% of members who responded believe there is too much regulation in the US financial markets.
SEC proposing a new rule that would make it unlawful for investment advisers to not have a business continuity and transition plan in place.
New SEC rules for money market funds, including changes in calculating NAV, that are designed to increase their stability go into effect on 14 October.
Crowdfunding as an option for the offer and sale of securities became a reality when the SEC’s Regulation Crowdfunding went into effect in May.
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