The national exam staff intends to focus on certain never-before-examined registered investment companies. Such examinations will focus on the following topics: compliance programs; annual contract ...
A slew of financial services industry trade associations has banded together to voice their “strong support” for proposed cybersecurity legislation. SIFMA, the Financial Services Roundtable, ...
The Department of Labor packs a lot into its new 120-page proposed rule redefining a fiduciary. It contains a new “best interest contract exemption” under ...
Complaints about the SEC taking more cases to its home court administrative law judges versus federal courts have prompted legal challenges. Last week, a federal ...
This proceeding involves fraud, breaches of fiduciary duty, and compliance failures by Sean Cooper from 2010 to 2012. During that period, Cooper was a managing ...
Securities Exchange Act of 1934 — Rule 14a-8 Opportunity Partners L.P. Shareholder Proposal (Clough Global Equity Fund) April 16, 2015 Clifford J. ...
Internationally, we must find a new way: we must swap our regulatory hubris for humility, and work to find common ground with our international counterparts ...
This is the Department of Labor's 2015 proposal revising the term fiduciary duty under ERISA.