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Wednesday, February 05, 2014

Cue In The Regulators

News summary by MFWire's editors

Cue in the regulators. The Wall Street Journal reports that the SEC is looking into how alt funds handle their valuations. Meanwhile, Investmentnews alerts us that both SEC and FINRA are looking into how advisors sell such products. InvestmentNews notes that Commonwealth Financial Network chief compliance officer Paul Tolley says that his firm's 2012 to 2013 exam focused on alts. Meanwhile, MFWire has heard from another platform that it too as peppered with questions on alts. The consensus so far is that regulators don't quite know what to do with regards to alts, and are now just trying to get a handle on the products before they go into regulation overdrive. Could this put a crimp in how you market and distribute these products? Could this cool off what had been a hot new growth area? Could the industry do anything better to address the fears of regulators? Stay tuned and stay involved in this one. 

Edited by: Tommy Fernandez


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