Investment Advisers

A look at new SEC proposals, commenters punch back on swing pricing, lessons from a CCO gone bad and much more

If this were a boxing match, the SEC would be left bloodied—in a contest over the Commission’s proposed mutual fund liquidity risk and swing pricing ...

While the impact of the failures of Silicon Valley and Signature banks on the larger economy remains uncertain, pain has trickled down upon the banks’ ...

A peer shares an example of the firm's conflicts questionnaire, issued to staff annually as a way for compliance to spot new potential conflicts of ...

This form is used annually, completed by staff and scoured by compliance to look for new potential conflicts of interest

"Today’s proposed amendments are a mixed bag of practical improvements and potentially conflicting requirements"

Given cyber breaches, "we must do everything in our power to enhance cybersecurity practices by market participants and to protect investors’ sensitive personal information"

"When personal information or assets are stolen, the results can be calamitous. It can lead to identity theft, stolen savings, ruined credit, and other effects ...

A host of compliance slip-ups and CCO changes feed into this enforcement action

"Recent recordkeeping charges settled by Morgan Stanley Smith Barney speak to how important it is that market participants properly safeguard customer information"