Views on improving the integrity of global capital markets
Fiduciary Standards
Déjà vu all over again: DOL issues guidance on ESG integration in the investment process
In a nutshell, the new rule says fiduciaries cannot sacrifice returns to achieve some other objective, such as societal considerations or other nonfinancial concerns.
DOL Fiduciary Rule — What’s Happening Now and Its Possible Future
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)
SEC’s Regulation Crowdfunding: Benefit for Investors and Industry or Concern?
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.