Ketchum Underlines Focus On Culture

FINRA Chairman and CEO Richard Ketchum pointed to estimates that fines and litigation costs to firms, or their parent companies, related to cultural failures have totaled more than $300bn since 2010.

Ben Maiden 19 April, 2016

PNC Unit Settles Mutual Fund Fee Case

Allegations over mutual fund sales charge waivers.

Ben Maiden 19 April, 2016

SIFMA Urges More Flexible Stance On Muni Pricing

Group wants dealers to be allowed to use reasonably designed policies and procedures.

Ben Maiden 19 April, 2016

Consultant: Firms Need To Boost FCPA Efforts

Polled officials about the extent of their compliance programs and their focus issues.

Peter Rawlings 19 April, 2016

SIFMA Wants Fund Liquidity Rule Revamp

Response to proposed liquidity risk management rule reforms for mutual funds.

Stan Wilson 18 April, 2016

Stifel B/D Settles Loan, Reserve Allegations

FINRA allegations that the firm made improper loan substitutions.

Ben Maiden 15 April, 2016

SEC Said To Boost Alts Marketing Scrutiny

The SEC is said to have expanded its scrutiny of the way returns are displayed to potential investors.

Peter Rawlings 15 April, 2016

Despite Changes, Fiduciary Rule Expected To Have Impact

Likely effects include pared down offerings by advisers, a tilting towards low-cost investments and the continued growth of robo-advisers.

compliance.reporter 14 April, 2016

Giancarlo Urges Reg Support For Online Currency Tech

The CFTC’s J. Christopher Giancarlo wants regulators to take a relatively hands-off approach to allow technology supporting online currencies to develop.

Ben Maiden 14 April, 2016

Top FinCEN Enforcer Joins Gibson Dunn

The first-ever director of the FinCEN’s enforcement division has joined Gibson Dunn & Crutcher.

Peter Rawlings 13 April, 2016

Funds Push Back On SEC Derivatives Proposal

Worries include creating unclear divisions of responsibility between risk managers and CCOs.

Peter Rawlings 13 April, 2016

Bond Dealer Group Concerned By T+2 Plan

BDA fears retail bond investors may not like the follow-on consequences of T+2, and want time to educate them.

Ben Maiden 12 April, 2016

Inquire About Membership

Fund Intelligence membership gives your firm access to an unique analysis and networking platform providing actionable data, insights and contacts that enable you to raise capital, comply with regulation and benchmark against peers.

  • Seven specialist networks for the latest industry trends
  • Direct access to actionable industry intelligence
  • Benchmarking data for flows, performance and product development
  • Peer group and allocator/advisor networking opportunities
  • Compliance data and tracking tools
  • Access to networking events and educational webinars
  • Access to our team of dedicated analysts and account handlers