Investment Advisers

ERISA fiduciaries can make investment decisions that reflect climate change and other ESG considerations, including climate-related financial risk, and choose economically targeted investments selected, in ...

"Today, the staff of the Securities and Exchange Commission published a report on the “meme stock” events of winter 2021, and how these events affected ...

"Today, the staff of the Securities and Exchange Commission published a report on the “meme stock” events of winter 2021, and how these events affected ...

"Surprisingly, the report turned into an account of those events awkwardly intertwined with discussions of market practices and policies that mirror Commission-level conversations unrelated to ...

As with any compliance issue, your work begins with a risk assessment. You may determine your risks are so small as to justify only a modest ...

Under federal law, an investment adviser is a fiduciary.104 With respect to securities lending, advisers have a fiduciary duty to consider the tradeoffs between continuing ...

A peer shares the firm's cybersecurity incident response plan

Know that some vendor contracts may limit their liability in a cyber breach to the fees they charge you. If that’s the case, you may ...

The consultant argues that you’ll never be able to beat the array of winning funds available from the TSP nor its lower fees and you ...

Many hot topics will continue, including asset verification (DOE confirmed more than $2 trillion in assets in FY 2021) and climate risks (looking at how ...