You Know It’s A Really Tough Regulatory Environment When . . .


In this letter sent last June, the writer commiserated:

” . . . the financial markets are more volatile and challenging than ever before. Couple all of that with that the burden of new rules and regulations, and it is apparent that it’s getting harder and harder to simply do our jobs.”

With the Securities and Exchange Commission pumping out new regulations with adopting releases numbering in the hundreds of pages and many tens of thousands of words, who hasn’t shared this sentiment? So, who wrote the letter? One might guess that its author was a chief compliance officer at a broker-dealer, the general counsel at a Fortune 500 company, or perhaps the chief financial officer at a financial institution.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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