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01-13-14

Regulatory Brief - ERA

In the aftermath of the Credit Crisis of 2008, Congress focused their attention on reshaping capital markets to provide the type of oversight and transparency that they hoped would help avoid similar crises in the future. The culmination of their efforts was passed as the Dodd-Frank Act. As a result of this legislation, smaller advisers and asset managers, who had previously been excluded from oversight, are now faced with new reporting requirements, among other changes.

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Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

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