British start-ups in the financial sector enjoy more freedom – is that better?
Innovative providers of financial services in Great Britain are allowed into the sandbox: In the “Regulatory Sandbox”,
Continue Reading No “Sandbox” in Germany
News & Commentary on Financial Regulatory and Compliance Matters
British start-ups in the financial sector enjoy more freedom – is that better?
Innovative providers of financial services in Great Britain are allowed into the sandbox: In the “Regulatory Sandbox”,…
Continue Reading No “Sandbox” in Germany
On July 13, 2016, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2016 Share Class Initiative (the Initiative). The Initiative is focused on addressing the perceived risk…
Continue Reading SEC Share Class Sweep of Registered Investment Advisers Appears to be Underway