A fast take on the impact of the Dodd-Frank Act on asset management firms
Asset management firms face unprecedented regulatory and compliance challenges. They must grapple with a new regulatory framework and new demands of the landmark Dodd-Frank Act. PwC can help asset management firms of all types address regulatory compliance issues and manage regulatory risk effectively.
Several provisions of Dodd-Frank impact - or may impact - the asset management industry, either directly as regulated investment advisers, or indirectly as participants in the markets, including:
- Form PF
- The Volcker Rule
- Resolution Plans for SIFIs
- Swap Dealer Registration
Click here to read a summary of how Dodd-Frank impacts asset managers.
Related Reading:
- A Closer Look: Impact on Asset Managers
- A Closer Look: Reporting by Private Fund Advisers on Form PF
- FS Regulatory Brief: Volcker hearing: continued uncertainty is the only certainty
- FS Regulatory Brief: Domestic SIFIs - FDIC Final Rule on Resolution Plans
- FS Regulatory Brief: Swap Dealer-MSP Registration to Start and External Business Conduct Rules are Final