FEBRUARY 13, 2020

INDUSTRY

SEC Provides Further Guidance on Reg BI Compliance

Patrick Donachie

The latest Reg BI guidance addressed whether clients can 'waive' the rule's protections, whether affiliated firms can submit separate CRS forms, and whether firms have to build entirely new systems and processes to be in compliance.

FULL ARTICLE

ETFS

A Rundown of Recent ETF Launches

Aniket Ullal, First Bridge Data

ESG funds from BlackRock's iShares and Direxion Shares were among the recent ETF launches.

FULL ARTICLE

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