Displaying results 11 - 20 of 54
Technology Advisory Committee
… many years, I think, order routing technology was driven by fiduciary obligations. I think, today, that technology could actually end up driving fiduciary obligations. I will give you a simple example, and … to get best execution beyond just price becomes a fiduciary duty. If you can do it, then, it is a duty. As an agent, you …
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2012-1244
… Swap Participants B. Department of Labor ERISA Fiduciary Regulations C. Securities and Exchange Commission … of ``Best Interests'' c. Comments on Sec. 23.440(b)(2)--Duty to Make Reasonable Efforts 3. Final Sec. 23.440 a. Acts … provisions or rules in subpart H of part 23 to impose a fiduciary duty on a swap dealer or major swap participant …
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ICYMI: Commissioner Quintenz in Bloomberg: Family Offices Don’t Need New Regulations
… on protecting outside investors through disclosures, fiduciary-duty obligations and reporting requirements. Such …
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Remarks on OTC Derivatives Reform at the Consumer Federation of America Financial Services Conference
… their profits, the banks are simply fulfilling their fiduciary duty to their shareholders. But to best promote market …
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2011-17549
… will be violated only if a party violates a pre-existing duty arising under contract, common law, or some other … in the highly regulated securities context with its fiduciary duties and strict disclosure requirements, but a … cash from a client's account or takes advantage of the fiduciary relationship to induce his client into a …
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Remarks on Over-the-Counter Derivatives Reform to the Atlantic Council
… In maximizing their revenues, the banks are pursuing their fiduciary duty to their shareholders and, as ever so evident by this … employee compensation as well. They do not owe a similar duty to the taxpayers. In fact, they have made their case …
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Remarks on Over-the-Counter Derivatives Reform to the Council on Foreign Relations
… In maximizing their profits, the banks are fulfilling their fiduciary duty to their shareholders, but they do not owe a similar duty to the taxpayers. We watched in 2008 when the financial …
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Remarks Over-the-Counter Derivatives Reform at FIA's Annual International Futures Industry Conference
… they appear rather allergic. After all, Wall Street has a fiduciary duty to its shareholders and will look to maintain its …
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Speech at the National Futures Association CPO/CTA Regulatory Seminar
… functions causes confusion. 2. There should be a uniform fiduciary duty standard of conduct for persons providing similar …
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Remarks on Over-the-Counter Derivatives Reform to the American Bar Association, Committee on Derivatives and Futures Law
… In maximizing their profits, banks are fulfilling their fiduciary duty to shareholders, but they do not owe a similar duty to taxpayers. Many of these banks have opposed …
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