Investment Management

'If there’s even the remotest notion that something could cause a disclosure issue, put it in.'

There are now nearly 13,500 SEC-registered IAs managing $97.2 trillion in assets

Investment advisers have widely panned the Trump Administration’s efforts to rein in sustainable investments. Under rules proposed by Department of Labor officials June 30, pension ...

By the time you finish reading this story, three more of your fellow humans will have developed Alzheimer’s disease. More than 50 million people around ...

Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, have “a trusted contact ...

Republican SEC Commissioners have approved new rules that define proxy advisors as “solicitors” and voted in favor of issuing new guidance warning investment advisers to ...

Pension managers and advisers would not be allowed put their clients’ money in sustainable investments if the ethical goals of the investments lower returns or ...

Redwood Trust, Inc. Aug. 15, 2019   Investment Company Act of 1940 – Section 3(c)(5)(C)   August 15, 2019   RESPONSE OF THE CHIEF COUNSEL'S ...

Lehman Brothers Holdings Inc. Aug. 12, 2019   Investment Company Act of 1940 – Section 7 August 12, 2019 Response of the Chief Counsel’s Office ...

XAI Octagon Floating Rate & Alternative Income Term Trust Aug. 6, 2019   Response of the Office of Chief Counsel Division of Investment Management August ...