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2017
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Molly's blog archive

2018 (1) 2017 (1)
Molly Yakubian

Molly Yakubian

Assistant Vice President at Cordium at Cordium
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Blogs

 

What to Expect from Electronic Communications Exam Requests

24 Jan 2018

A look at what the regulators are asking for and considerations for production SEC examinations of Registered Investment Advisers are on the rise. The SEC Fiscal Year 2018 Congressional Budget Justification[1] indicates that the estimated percentage of investment advisers examined in FY 2017 and FY 2018 is 13%, up from 10% and 11% in 2015 and 20

 

MiFID II: what do the new developments in RIA Record-Keeping Obligations mean for the industry?

17 Oct 2017

There has been a lot of chatter in the industry related to the impacts of the EU’s Marketing in Financial Instruments Directive (MiFID II) on investment managers around the globe which are expected to come into effect in January 2018. While the effects of MiFID II will affect only some US firms, investment managers should still be aware of the impl...