Mutual fund boards must monitor these arrangements in consultation with their investment adviser and legal counsel
He engaged in "a pattern of high cost, in-and-out trading without any reasonable basis to believe that his recommendations were suitable for anyone"
"For a fund that already has such differential advisory fee waivers in place, its Board may wish to consider ... whether the steps they are ...
Lessons from a real-world cyber event, plus guidance to help protect your firm
A new SEC proposal, lessons learned from a real-life cyber event, testimonial tips and much more
It would be ideal if chosen testimonials “somehow provide transparency to the investment process”
This is an example of a peer's annual certification form for staff to attest to having read the firm's code of ethics
This document comes courtesy of National Compliance Services in Delray Beach, Fla. (http://www.ncsonline.com).
Proposal bans Commission personnel from investing in financial industry sector funds
"There are market integrity implications to allowing private issuers to grow so big without adequate disclosure or oversight"
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