IA Rules & Regulatory Actions

"For a fund that already has such differential advisory fee waivers in place, its Board may wish to consider ... whether the steps they are ...

This is an SEC proposed rule that seeks to bar conflicts of interest in the sale of asset-backed securities

Moors & Cabot failed to fully and fairly disclose in its brochures or otherwise material information related to its own disciplinary history, as well as ...

This is a new SEC FAQ, released in January 2023, related to its SEC ad rule

The SEC adjusts penalties due to inflation

Randy Robertson requested generally that Aviron help his daughter’s career, and on occasions Aviron presented her with potential opportunities in the film industry

The proposed amendments are designed to improve liquidity risk management programs to better prepare funds for stressed conditions and improve transparency in liquidity classifications

"Since 2012, when Two Point first registered with the Commission, Two Point failed to adopt and implement reasonably designed compliance policies and procedures, and to ...

"Programs must include reasonable policies and procedures to identify relevant red flags for covered accounts offered by the firm and incorporate those red flags into ...

This is the Department of Labor's 2022 final rule providing a green light for ERISA investment managers to invest in ESG securities