CIP Capital forms Compliance Solutions Strategies

CIP Capital is backing Compliance Solutions Strategies, which has acquired Advise Technologies, Ascendant Compliance Management and The MoneyMate Group. Compliance Solutions provides technology-enabled regulatory and compliance solutions to the financial services industry. Jim Casella, the former CEO of Asset International, is the chairman and CEO of the Compliance Solutions. PRESS RELEASE January 31, 2017 – […]

CFTC chairman vows to loosen US regulatory straitjacket

Only a week into Trump taking office, it is too early to make concrete predictions about what the FX market can expect, but the acting chairman of the CFTC has outlined some of his priorities, which could provide clues. Christopher Giancarlo, acting chairman of the Commodity Futures Trading Commission (CFTC), gave a candid assessment of […]

Nadex seeks to amend its rules for handling of customer orders

Nadex aims to change its rules to better reflect the CFTC regulations that prohibit abusive trading practices. North American Derivatives Exchange, Inc. (Nadex), a subsidiary of IG Group Holdings plc (LON:IGG), has informed the United States Commodity Futures Trading Commission (CFTC) of its intent to introduce changes to its rules for handling of customer orders. […]

Form DEF 14C Advisors’ Inner Circle For

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14C SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: [ ] Preliminary Information Statement. [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) [X] Definitive Information Statement. THE […]

How to Get Financial Advice That Is in Your Best Interest

In April, financial advisers for the first time will be required to put retirement investors’ best interests first. But there is a catch. The new requirement, known as a fiduciary rule, was imposed by the Labor Department during the Obama administration, and could be blocked by the Trump administration or congressional action before it takes […]

Replacing Obamacare with job-killing Chaoscare

Like most of the charges that Republicans threw at the Affordable Care Act over the past six years, the accusation that it was a “job-killer” didn’t hold water. In fact, it was just the opposite. But if killing jobs is what opponents want, they can make it happen by eliminating key provisions of the health […]

SEC Amends Form ADV for Separately Managed Account Reporting and Codifies “Umbrella Registration”

On August 25, 2016, the Securities and Exchange Commission (“SEC”) amended Form ADV (the “ADV Amendments”) to collect from registered investment advisers certain information about separately managed accounts (“SMAs”) that they manage, including the types of assets held and the use of derivatives and borrowings.).  The ADV Amendments are designed to assist the SEC with […]

Futures, Securities Bills Being Prepared for House Vote

A House committee is scheduled Jan. 10 to set up rules for floor debate on a bill to reauthorize the Commodity Futures Trading Commission. The Rules Committee also will consider a bill (H.R. 78) that day that would ratchet up the cost-benefit analysis for Securities and Exchange Commission rulemaking, including requiring the agency to conclude […]