"You’re the first line of defense—not just, crucially, for investors, but also for your colleagues, who are working to meet various revenue goals for your ...
The "Commission noted that asset managers may engage with service providers with international operations and, therefore, generally should consider potential risks related to outsourcing beyond ...
"Today’s proposal incorporates lessons from actual times of stress. As the proposal notes, in March 2020, at the outset of the Covid-19 pandemic, most segments ...
"With the passage of today’s amendments, investors will have better insight into fund governance of portfolio companies, which can improve shareholder value"
"We saw such systemic issues during the onset of the Covid-19 pandemic, when many investors sought to redeem their investments from open-end funds. The resulting ...
"This rulemaking also will require institutional investment managers to disclose how they voted on 'say-on-pay' matters, which fulfills the mandate under" Dodd-Frank
"The Commission is too enthusiastic about the rule’s purported benefits to pay much attention to its costs"
"Today’s proposed amendments to the Commission’s liquidity management and swing pricing rules resemble less a series of regulatory initiatives than an essay on Greek tragedy"
"The proposal would require all funds to determine and maintain a minimum amount of highly liquid assets, which can help funds better meet investor redemptions. ...
"The Commission’s actions today will make the information provided on Form N-PX easier to understand, and will also facilitate comparisons across funds"