Industry groups warn Gensler on overreach
Reconciliation touches client fees, trades, expenses, performance, trade errors, allocations, withdrawals and more
Mutual fund boards must monitor these arrangements in consultation with their investment adviser and legal counsel
Lessons from a real-world cyber event, plus guidance to help protect your firm
It would be ideal if chosen testimonials “somehow provide transparency to the investment process”
Proposal bans Commission personnel from investing in financial industry sector funds
Follow this strategy and a firm “would know immediately that transfers among these different accounts don’t make sense"
It’s been 13 years in the making but the SEC has taken a step toward promulgating a Dodd-Frank era rule that would seek to prevent ...
That new SEC FAQ tied to the IA advertising rule certainly has thrown the industry for a loop
“I’m concerned about what other interpretations are coming” from the SEC on the new ad rule, he continues. “The marketing rule has a lot of ...