PIMCO inadequately disclosed that paired interest rate swaps in PGP’s portfolio had become a material source of distributable income, which enabled PIMCO to maintain PGP’s ...
"To better address pricing and reduce dilution in times of stress, we proposed so-called swing pricing as well as alternatives regarding liquidity fees. Such swing ...
If this were a boxing match, the SEC would be left bloodied—in a contest over the Commission’s proposed mutual fund liquidity risk and swing pricing ...
"I am particularly interested in hearing ... about the Commission’s recently proposed swing pricing and liquidity risk management rule. I voted against the proposal, in ...
Mutual fund share class selection/best ex case has Peirce and Uyeda claiming the SEC is "creating novel regulatory interpretations through enforcement"
Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...