Soft Dollars

In May 2009, JS Oliver requested that the Soft-Dollar Broker reimburse JS Oliver $329,365 using soft dollar credits for a payment to Mausner’s ex-wife based ...

While the Knowledge Leaders Management Committee approved the CIO’s company as a soft dollar recipient and approved the payments made to the CIO’s company for ...

    Investment Company Act of 1940 and Rule 17d-1 thereunder, and Section 206 of the Investment Advisers Act of 1940 Investment Company Institute October ...

SEC Chairman Jay Clayton has delivered as promised, giving the industry assurances that soft dollar research practices that conflict with the EU’s coming MiFID II ...

January can seem a long way away in July but the start of MiFID II early next year will require certain firms to take actions ...

If you question how closely your clients read your Form ADV, imagine the reaction you might receive if it disclosed that $329,000 in soft dollars ...

The wrinkles in the Department of Labor’s new fiduciary duty rule are starting to show (IA Watch, April 14, 2016). Take soft dollars.   Even ...

Faking research expenses, portfolio pumping and marking the close are all featured in an SEC enforcement action announced this month against a Minneapolis-based hedge fund ...

SEC Charges Minneapolis-Based Hedge Fund Manager with Bilking Investors and Portfolio Pumping

An investment adviser and two principals paid dearly last week for misusing soft dollars, including using soft dollars for a $214,000 divorce payment.The tale of ...