Luis Aguilar, (left) Advisor to the Institute, will speak Sept 22 on the panel for The 2022 Frankel Prize honoree, Arthur Laby.
Sharp exchanges at hearing illuminate debate on SEC’s oversight of ESG
Congress begins to discuss ESG and whether regulatory action should begin, but there is still contention within the house
Attorney August Iorio (I) and Law Professor Ben Edwards Spoke on Reg BI
Two years after Regulation Best Interest critics speak out and urge more change addressing conflicts of interest.
SEC Takes First Substantive Reg BI Enforcement Action
The SEC has issued a Regulation Best Interest ruling against a brokerage and five registered representatives
Leadership and Character on Memorial Day
Memorial Day honors those who died for our country. Remembering their service is an American tradition. Noting how character development drives officer training should become a tradition in finance.
Compliance Week: Conviction, moral fortitude define Lifetime Achievement winner Tamar Frankel
Tamar Frankel’s two palpable features, ‘One is a deep well of kindness behind her eyes, the other a formidable air of intelligence.’