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An adviser CCO tells of a recent SEC exam that deeply probed the adviser’s due diligence into its pricing services used for establishing valuations
Credit Suisse Securities (USA) and two affiliates to pay over $10M to settle SEC charges that they provided prohibited underwriting and advising services to mutual ...
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The firm acted as an investment adviser or principal underwriter to registered investment companies or ESCs in violation of the ineligibility provisions of the Investment ...
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In connection with BlackRock’s investigation of potential misconduct by Aviron’s CEO, BlackRock identified its reporting errors
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Based on the facts and representations made in your letter, we would not recommend enforcement action to the Commission under Section 17(d) of the 1940 ...
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This is the SEC's final rule affecting how registered funds name their funds. This was approved in 2023
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The final rule estimates initial costs to satisfy the revised rule 'will range from $50,000 to $500,000 per fund.' For those funds that will have ...
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Revised rule 35d-1 would mandate a fund have a P&P mandating it invest at least 80% of its assets in accordance with its name, plus ...
SEC Chairman Gary Gensler
"Today’s adoption will modernize the Names Rule in a number of ways for today’s markets"
"As long as fund managers stick within the confines of plain English or industry usage, they have reasonable discretion to define terms in a fund’s ...

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