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Investment Management

compliance, regulations, SEC
There is a "significant list" of current issues and trends in investment management under consideration at the SEC "right now"
Cases reveal a brokerage system all but begging to be exploited.
Remarks Before The Future of Asset Management North America Conference Washington D.C. Sept. 29, 2021 I’d like to thank the Financial Times for putting on ...
Committee recommends 'chaperoned access'
Gensler has tough questions for 'stonks' industry
Association says standards would impose unnecessary burdens on investment managers, are of questionable benefit to investors, and create confusion
Financial services giants backing software company
Results show need for greater representation of women and minorities in all levels of asset 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

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