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The concept of a multi-series trust first popped up in the 1980s. The trend shows that many newer and smaller advisers prefer to put their mutual ...
Firm settles charges that it unlawfully purchased stock in seven public offerings after selling those same stocks short
The CCO allegedly created fictitious letters and tax documents, hacked into her colleagues’ computers and rerouted their emails, and used voice altering software to impersonate ...
It’s smart to be nimble during an SEC exam. 'Be ready to pivot' and prep your staff that examiners can turn on a dime and ...
'The rule proposal is not needed.' Principal 'traders are already subject to anti-fraud and anti-manipulation provisions of the Exchange Act'
The CCO had only minutes to flee. He gripped his briefcase and pocketed cash and escaped with the clothes he was wearing. A neighbor three ...
In reaffirming 'existing obligations,' the SEC also gives examples of what advisers should and shouldn’t do
The new proposal would hand compliance a second job
Advisers would have to describe their use of ESG factors, their strategies, methods of analysis and how they voted relevant proxies
One part of the proposal asks should the Commission delegate to a fund’s CCO the duty to determine if the 80% threshold has been satisfied
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