Fiduciary September and What’s Possible
What we learned during Fiduciary September from John Bogle, John Taft, Barbara Roper, Troy Paredes and Robert Plaze.
SEC's White: Fiduciary Rule Important, but Dodd-Frank, JOBS Mandates Come First
Securities and Exchange Commission Chairwoman Mary Jo White said in September that she has asked the SEC to place a “high priority” on its fiduciary rulemaking options list.
SEC's Uniform Fiduciary Rule Could ‘Haunt’ Advisors
Creating a uniform fiduciary duty rule for brokers and advisors is a “deeply flawed” concept, Robert Plaze, the former deputy director of the agency's Division of Investment Management, said in September.
SEC’s Uniform Fiduciary Rule Could ‘Haunt’ Advisors
Creating a uniform fiduciary duty rule for brokers and advisors is a “deeply flawed” concept, says former investment management deputy director Robert Plaze.
Former SEC Compliance Chief Tells White: Stop Suing Compliance Officers
John Walsh gave new SEC Chairwoman Mary Jo White some blunt advice: stop suing compliance officers “or the future of the profession may be at risk.”
Plaze to Leave SEC as Cross Joins Agency
The SEC announced Thursday that Robert Plaze, deputy director of the Division of Investment Management, is retiring from public service at the end of August while the SEC has named John J. Cross III the director of the agency’s new Office of Municipal Securities.
SEC’s Plaze Defends Need for Money-Market Fund Reforms
Money-market fund reform “is one of the areas of unfinished businesses” leftover from the 2008 financial crisis, Robert PLaze told mutual fund directors at their annual policy conference.
SEC Names Blizzard to Head Investment Advisor Regulation
The SEC has named Diane Blizzard associate director for regulatory policy and investment adviser regulation in the Division of Investment Management, replacing Robert Plaze.
Are RIAs Really a Bigger Regulatory Problem Than Brokers?
A look at the number of enforcement actions against each group provides a ready answer: part two of a series on the Bizarro World inside the beltway
SEC Adds 130 Examiners for ‘Priority’ Areas: Exam Chief di Florio
Carlo di Florio, director of OCIE, told CCOs that the SEC has hired 130 new examiners over the last 18 months and that the agency is focusing on three 'priority' areas when it comes to advisory firms.