Hector Sants

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  Harmonizing Advisor, BD Rules Back Burner Issue for SEC: fi360's Thompson Says

  By Melanie Waddell, AdvisorOne  |  October 13, 2011

  Harmonization of advisor and broker rules is an issue that’s “lower on the totem pole” for the SEC now, Duane Thompson, senior policy analyst with fi360, said on Thursday. However, there are clearly areas where harmonization needs to occur.

• SEC, U.K.'s FSA Eye Further Regulatory Cooperation

  By James J. Green, AdvisorOne  |  September 21, 2009

  To begin, will collect data on hedge funds to help control risk

• U.K. FSA Expects High-Level Dialogues with U.S. SEC

  By Staff Writer  |  October 4, 2004

  LONDON--Hector Sants, managing director, wholesale and institutional markets division of the U.K. Financial Services Authority, addressed a conference the FSA is hosting on the issues facing the asset management industry as well as its regulators. He expressed his pleasure that Susan Nash, of the Securities and Exchange Commission, was at...