Davis Polk

• 

  Top Regulators to Testify on Dodd-Frank Progress

  By Melanie Waddell, AdvisorOne  |  February 11, 2013

  The nation’s top financial regulators will testify before the Senate Banking Committee on Thursday regarding the progress of the Dodd-Frank Act.

• 

  On Dodd-Frank’s 2nd Birthday, Should Investors Celebrate?

  By Knut A. Rostad  |  July 20, 2012

  Individual investors have not witnessed dramatic regulatory changes favoring investors over the past two years, but they seem to be voting with their assets, moving them more toward fiduciary advisors.

• 

  FINRA Hires Colby as Chief Legal Officer

  By Melanie Waddell, AdvisorOne  |  May 7, 2012

  FINRA announced Monday that it has hired Robert L. D. Colby as its chief legal officer to oversee the corporate and regulatory functions of the Office of General Counsel, along with the Regulatory Policy Group.

• 

  New Hire Roundup: Harris Returns to Davis Polk; Citi Private Bank Welcomes Mohammed

  By Marlene Y. Satter, AdvisorOne  |  May 3, 2012

  This week in new hires, Davis Polk welcomed back Kim Harris and Nevada Mohammed joined Citi Private Bank’s Vancouver office.

• 

  Carlyle Group Buys Minority Stake in Avalon Advisors

  By Joyce Hanson, AdvisorOne  |  August 31, 2011

  The Carlyle Group, one of the world’s largest private equity firms, has made a minority investment in Avalon Advisors, a Houston-based wealth advisor and asset manager with nearly $4 billion in assets under management.

• 

  New Hires Roundup: BondDesk Adds Bang; JHS Capital Gains Maguire Investments; Kern Is President of Advisor Partners

  By Marlene Y. Satter, AdvisorOne  |  August 18, 2011

  This week in new hires, Curley goes to Genworth; Goldman, Gendreau join Cetera; Polk adds Crandall; Herrera goes to AUL.

• 

  Dodd-Frank Anniversary: Big Reform Followed by Mixed Progress—Slideshow

  By Ron Pechtimaldjian, AdvisorOne  |  July 20, 2011

  Like many well-meaning legislative efforts, the law has become clouded by political mud fights and has ballooned in size and scope.

• 

  Video: Fiduciary Duty, Separation of Sales and Advice, and RIA Oversight

  By Kathleen McBride, AdvisorOne  |  February 18, 2011

  Tom Bradley, president of TD Ameritrade Institutional, discusses with AdvisorOne’s Kate McBride why it’s important to separate sales from advice and what his RIA clients say about who should regulate them.

• SEC’s Fiduciary, SRO Studies Considered Linked, Experts Say

  By Kathleen McBride, AdvisorOne  |  February 10, 2011

  Although the SEC’s Fiduciary Study and the SRO Study, are separate, in the eyes of some industry experts and academics that specialize in financial services issues, the two are linked.

• Editor's Note: Eating Our Own

  By John Sullivan, AdvisorOne  |  August 1, 2010

  The Dodd-Frank Wall Street Reform and Consumer Protection Act, and its 533 new rules, is now law (in contrast, Sarbanes-Oxley had 16). The firm of...