Author Archive | Paul Soltis

Happy Birthday, Form N-PORT!

It seems like only yesterday that the SEC finalized the rules for Investment Company Reporting Modernization and the Investment Company Liquidity Risk Management Program, yet in reality that momentous day was about one year ago. While the compliance date is still eight months away, the time between now and the first filing is likely to […]

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The Strange Twists and Turns of Politics

“We’ll postpone the vote if, there’s a little confusion here, so we’ll postpone the vote”.  With those words from Chairman Richard Shelby way back on April 7, 2016, the U.S. Senate Committee on Banking, Housing & Urban Affairs delayed consideration of President Obama’s nomination of Lisa Fairfax and Hester Peirce for membership in the SEC.  […]

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Freaking Out, Brexit Style

The first line of the Fortune article read “Decades of European integration were blown up by a single vote”. For the Economist, a “senseless, self-inflicted blow”. The Telegraph deemed it the “greatest disaster to befall the block in its 59-year history”. NIKKEI 225 down 7.92%. DAX down 6.82%, CAC 40 down 8.04%, FTSE down 3.15%, […]

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When Good Intentions Go Bad – Regulators and Cloud

Regulators are often, to quote one of my old bosses when referring to his boss, unencumbered by reality. Their detachment from the practical application of their ideas has been especially apparent in the past few years as Dodd Frank and other post-crisis regulations have come into effect. Just look at what happened with Money Market […]

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