Mutual Funds

These proceedings arise from the improper use of approximately $25 million in mutual fund assets to pay for the distribution and marketing of fund shares ...

The comments are in on two SEC proposals that would bulk up data reporting by mutual funds and investment advisers. Many comments point to additional ...

This is a copy of an SEC sweep exam looking at fixed income portfolios. This was shared by a CCO peer.

This document request letter showcases an OCIE exam of an alternative mutual fund and focuses on how it deals with liquidity issues.

This relief involves a business development company arrangement.

For the discerning compliance professional, SEC enforcement actions are chock full of lessons learned and tripwires to be avoided. In June 2014, summer school was ...

A civil action by the SEC alleged violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933 in connection with MCUSA’s role as ...

If you’re an adviser to a mutual fund, a big takeaway from the SEC’s June 17 settlement with Commonwealth Capital Management ($18M in AUM) of ...

In an attempt to temper the tempest stirred by last February’s SEC Division of Investment Management guidance on registered fund gifts and entertainment (IA Watch, ...

This matter involves the failure of a mutual fund adviser and the funds’ board members to satisfy specific duties imposed upon them by Section 15(c) ...