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It would be ideal—if feasible—for advisers to set up 'an information barrier' that separates the index side of the business from the advisory side
ONIMCO had a conflict of interest when it recommended Sweep Account Options to its clients
"An investment adviser’s fiduciary duty also includes a duty of care. To fulfill this obligation, an adviser, among other things, must provide investment advice in ...
Birdthistle mixed it up in battles over proxy voting, fees and ESG
David Chiueh wore multiple hats at Upright Financial Corp. ($68M in AUM) in East Hanover, N.J.—president, portfolio manager and chief compliance officer. A new SEC ...
Upright Trust maintained no written policies and procedures .... did not have any specific procedures on calculating the NAV, and there were no procedures designed ...
Risk alert details observations gleaned from exams of more than 50 fund complexes and nearly 100 investment advisers
Below are examples of deficiencies or weaknesses observed by the staff related to funds’ and their advisers’ compliance programs for portfolio management and other business ...
Under federal law, an investment adviser is a fiduciary.104 With respect to securities lending, advisers have a fiduciary duty to consider the tradeoffs between continuing ...
This is the SEC's proposed new Form N-PX as part of a proposed rule that would require new reporting of proxy votes by mutual funds ...
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