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Pennsylvania + Wall provides commentary on a broad range of current financial, economic and regulatory reform topics. The views expressed are those of the authors, and do not necessarily reflect the position of SIFMA.

January 11, 2013

An Unnecessary Re-litigation of Fiduciary

By Ira Hammerman

Fiduciary duty - handshakeIt seems as though we continue to re-litigate the past on one of Dodd-Frank’s most thoroughly debated provisions—the uniform fiduciary standard of conduct for brokers and investment advisers who provide personalized investment advice about securities to individual retail investors..... Read more...

Topics: Public Policy, Private Client

January 10, 2013

ICYMI: DOL Lag Leaves US Pension Funds Unable to Clear Swaps

By Lisa Bleier

DOL, Fiduciary, ERISA, Retirement

Risk Magazine (subscription required) last week highlighted a critical and immediate issue that will affect thousands of pension funds and the men and women who rely on these funds for their retirement.   

 .... Read more...

Topics: Public Policy

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