Mutual Funds

Given the additional compliance duties noted in the proposal, there's little doubt fund CCOs will take advantage of the SEC's request for comment

The proposed amendments are designed to expand the scope of securities that are eligible for cross trading, modernize the rule’s conditions, and enhance investor protection. ...

Expect new CCO duties if a new SEC proposal affecting ICs goes through, do's and don'ts to help you master your next exam, guidance on ...

This SEC proposed rule change would give IC CCOs more duties while permitting more cross trades among affiliates

"I am pleased to support a proposal that provides clear rules of the road, is grounded in how markets functionally operate, and is focused on ...

"With appropriate guardrails, such as the adviser’s best interest determination and chief compliance officer (CCO) review, a cross-trade would allow the selling fund to avoid ...

AI is changing how quickly information can be processed, how broadly it can be compared, and how much can be extracted from it

Trio believes a great place to start with reforms is with diversified funds' compliance with-and possible changes to-their fundamental policies

Small fund groups must comply with the names rule by December 11

Compliance problems including trading with an affiliate without a required exemptive order and failing to have a process for any revisions to, or deviations from, ...