Regulation Of Investment Advisers
Found 5 free book(s)
The Dodd-Frank Act: a cheat sheet - Morrison & Foerster
media.mofo.commillion as investment advisers; threshold for investment advisers subject to federal regulation to be raised from $25 million to $100 million. Morrison 7 Foerster − The SEC will require registration of municipal financial advisers, swap advisers and investment brokers;
GRAMM–LEACH–BLILEY ACT
www.congress.govDefinition of broker under the Investment Advisers Act of 1940. Sec. 219. Definition of dealer under the Investment Advisers Act of 1940. Sec. 220. Interagency consultation. ... been determined by the Board by regulation or order under this paragraph as of the day before the date of the enactment of the Gramm-Leach-Bliley Act, to be so closely ...
New Fiduciary Advice Exemption: PTE 2020-02 Improving ...
www.dol.govdealers and investment advisers. The package included Regulation Best Interest which also establishes a best interest standard applicable to broker-dealers when making a recommendation of any securities transaction or investment strategy involving securities to retail customers. 84 FR 33318 (July 12, 2019). In addition, the SEC
FR02/2017 IOSCO Research Report on Financial …
www.iosco.orgmarkets regulation. IOSCO is the international body that brings together the world's securities ... robo-advisers provide automated investment advice; and social trading platforms offer brokerage and investing services. -Emerging technologies. such as cognitive computing, machine learning, artificial ...
EU SUSTAINABLE FINANCE
ec.europa.euSustainable finance is about re-orientating investment towards sustainable technologies and businesses. It is an essential part of the European Green Deal. Major public and private investment is needed to make our financial system sustainable and ensure Europe is climate-neutral by 2050.