News

December 3, 2020

OCIE reported that the vast majority of the examined advisers were cited for at least one deficiency related to the Compliance Rule.

December 2, 2020

The webinar will focus on the latest regulatory and industry developments in cryptocurrency and blockchain.

December 1, 2020

ISS released its new benchmark policies, effective for shareholder meetings on or after February 1, 2021.

November 25, 2020

These actions are the first arising from investigations generated by the Division of Enforcement's Exchange-Traded Products Initiative, which utilized trading data analytics to uncover potential unsuitable sales.

November 24, 2020

According to the report, 48 percent of survey participants experienced delays in calculating their daily NAVs due to the impact of the COVID-19 pandemic.

November 23, 2020

According to media reports, former Commissioners Kara Stein and Robert Jackson are among names considered for the chairman slot.

November 19, 2020

The paper focuses on ten ways to evaluate how active managers can help investors get through today’s volatile market conditions.

November 18, 2020

The Forum will host a webinar with ACA Compliance in December to discuss the liquidity risk management survey in detail.

November 17, 2020

The SEC's Division of Enforcement brought 715 enforcement actions in FY 2020.

November 16, 2020

Dechert partners will highlight mutual fund industry litigation from 2020 and provide a preview of what to expect in regulatory enforcement in 2021.

November 12, 2020

In this broadcast, speakers discuss topics such as LIBOR cessation timing, the SOFR and alternative rates, and legacy issues including what market participants should do about existing contracts and documents that refer to LIBOR.

November 11, 2020

This webinar will provide highlights from the most recent "Survey of Mutual Fund Chief Compliance Officer Compensation and Organizational Practices" by Management Practice.

November 10, 2020

Fund boards must approve the designation of a derivatives risk manager, who must report to the board at least annually on the derivatives risk management program’s implementation and effectiveness.

November 9, 2020

This webinar will discuss the trends across boards as they have navigated governance during the pandemic, and how to leverage the lessons learned.

November 6, 2020

This webinar will provide a post-election review, outlining the key implications for federal politics and policy for 2021 and beyond.

November 5, 2020

MiFID II’s requirement to unbundle trading commissions from research fees appears to have improved European market efficiency by eliminating redundancy and producing information that is of greater value to investors, academics write.

November 4, 2020

A report in Barron’s noted that bids for the Wells Fargo business are due within the next several days.

November 3, 2020

The SEC said the final amendments modernize the rules and more effectively focus the analysis on relationships and services that may pose threats to an auditor’s objectivity and impartiality.

November 2, 2020

The staff observed that smaller firms faced challenges in devoting internal personnel or hiring outside counsel to comment on Commission proposals and determining how to comply with new requirements.

October 29, 2020

Individual and peer evaluations can help boards identify and address emerging issues with individual directors that may not be identified in a board level evaluation.