Fiscal year 2022 proved a windfall for the SEC, as it issued $6.4 billion in penalties, interest and disgorgement, a whopping 68% higher than FY ...
Don't trumpet an award based only on AUM or other criteria not related 'to the quality of the investment advice' or the ad could be ...
It’s difficult to imagine a Congress so divided would be able to address a constitutional remedy should the SCOTUS find for Cochran
Trouble often follows when a firm fails to disclose conflicts related to received revenues
Swing pricing and 'hard close' would be imposed on most funds
Commission closes book on 'say-on-pay,' imposes 14 new voting categories
SEC examiners have reported problems: 'we are troubled that the Commission staff have observed some advisers unable to provide timely responses to examination and enforcement ...
The proposed rule and the preamble give examples of what would be in the rule and what services would be outside the rule
There are many other clauses you may consider for your contracts, including these 11 key provisions
“What is a chief compliance officer to do,” asked a commissioner. “An already burdensome regulatory regime is made even more burdensome when the functions that ...