Dan Hallett
Hallett: two steps for better fund industry regulation
- By: Dan Hallett
- May 20, 2009 December 15, 2017
- 15:36
Regulators update policy on the use of non-GAAP financial measures
Proposals seek to ensure banks can cope with rapid liquidity events
Regulator seeks to limit brokers' OTC requirements to equities
U.K. regulator seeks faster resolutions for clients, greater certainty for firms
Total compensation ranged from $4 million to $12.3 million
Panel lifts stay, refines order in case that led to landmark ruling
54% of advisors said they have or will tweak portfolios in response