We know there are many CCOs who want to improve compliance at their firms.We also know that CCOs are busy and bear a lot of ...
One of the effects we all spend a lot of time talking about – and worrying about—is cybersecurity. Unfortunately, we are all well aware ...
The challenge for the SEC in 2017 is to ensure that its approach to ETPs matures along with the market. Where does this start? ...
Keeping prices of the ETPs in line with their underlying portfolios can be challenging for some types of ETPs. For example, deviations are more ...
There is a lot of work to do, and this issue is complex. That should not deter us, and we are moving forward. ...
I believe that more transparency can provide the right incentives for the private market to compete with the public market, and ultimately foster the capital ...
To explore whether there is a link between the shift to institutional investing and the decrease in IPO activity, I have begun to ask asset ...
Let me give you a concrete example in the context of the investment adviser space. DERA staff currently ingests a large corpus of structured and ...
These differences do not mean that run risk doesn’t exist at funds. And while the money market fund reforms addressed run risk at funds ...
In addition, an active IPO market can enhance efficient decision-making among suppliers of capital. The robust disclosures generated by newly public firms provide investors ...