Financial Regulatory Forum

“Super managers,” governance spotlighted in economist Piketty’s blockbuster capitalism critique

By Guest Contributor
May 8, 2014

By Henry Engler, Compliance Complete

NEW YORK – May 8, 2014 (Thomson Reuters Accelus) - How much of a role have corporate boards played in rising income inequality in the United States, the UK and elsewhere?

Volcker rule enforcement: Regulators attempt a united front

By Guest Contributor
February 19, 2014

By Henry Engler, Compliance Complete

NEW YORK, Feb. 19 (Thomson Reuters Accelus) - The question of which regulator will take the lead in enforcing the complex Volcker rule took center stage this week, as U.S. lawmakers voiced concern over the lack of clear leadership among the five agencies in charge of the statute.

IA brief: SEC examiners give first look at hedge fund exam findings

By Guest Contributor
February 11, 2014

By Jason Wallace, Compliance Complete

NEW YORK, Feb. 11 (Thomson Reuters Accelus) - Last week, representatives of the Securities and Exchange Commission gave the first of many reports concerning its “presence exam” initiative for conducting initial regulatory exams of private advisers, and reported a lower rate of deficiencies compared with regular exams. The panel highlighted exam findings and staff observations concerning investment conflicts, marketing, valuation and custody.