Exchange-Traded (ETFs)

Treasury Department Secretary Steven Mnuchin believes the regulatory framework for the asset management industry “can be significantly improved.” With the costs of asset management expected ...

Complex products bring with them special supervision, suitability and rep training obligations.  Volatility-linked exchange-traded products fit squarely into this bucket and recently led to two ...

Keeping prices of the ETPs in line with their underlying portfolios can be challenging for some types of ETPs. For example, deviations are more ...

The challenge for the SEC in 2017 is to ensure that its approach to ETPs matures along with the market. Where does this start? ...

Some dispute that the recent SEC document request letter on business development companies that we shared with you comes from a sweep exam (IA Watch, ...

A peer shares a copy of an OCIE document request letter that focuses on exchange-traded funds.

ETFs obtain exemptions from various provisions of the Investment Company Act before they can operate. In 2010, the iShares MSCI Russia Capped ETF (“Russia Fund ...

ETFs obtain exemptions from various provisions of the Investment Company Act before they can operate. In 2010, the iShares MSCI Russia Capped ETF (“Russia Fund ...

When you don’t follow one of your compliance policies and procedures and processes nearly half the time, you are certainly inviting trouble. Despite knowing that ...

Many of MSSB’s non-discretionary advisory clients held the securities for months or years, despite the fact that the Client Disclosure Notice stated that single-inverse ETFs ...