Carl Ayers
ESG and mutual fund names are two proposals the SEC will be taking up
Bond-Nelson lied repeatedly during SEC testimony and refused to return from a restroom break late in the afternoon of the second day.... Tournant advised Taylor ...
Bond-Nelson was an Allianz managing director and portfolio manager for a complex options trading strategy known as Structured Alpha
Taylor was a managing director at Allianz Global Investors U.S., serving served as co-lead PM for a complex options trading strategy sold to approximately 114 ...
“After the COVID-related market drop in March 2020, Defendants engaged in multiple efforts to conceal their misconduct from the SEC. Those efforts, however, did not ...
"The funds we requested will support only about a 5 percent increase in the number of staff that examine investment advisers"
"Firms need to take investor protection and compliance obligations seriously, reining in or curing any conflicts and really delivering the best interest advice that investors ...
"That said, too often, we see defense counsel—sometimes even including Enforcement alums—engage in conduct that seems to have little purpose other than to delay our ...
[W]e are of the view that greater transparency and more robust investor protections could assist investors in evaluating and making investment, voting, and redemption decisions ...
The industry serves nearly 52 million clients, with the largest (42 million) being individuals
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