News
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March 19, 2020
Members Exchange Expects to Launch in July Learn more -
March 19, 2020
Members Exchange Expects to Launch in JulyMEMX, a new independent stock exchange founded by large brokers including Charles Schwab and E*Trade, says it will launch in July if it obtains regulatory approval from the SEC, which it expects in the second quarter.
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March 18, 2020
ACA Compliance Releases Top Risk, Compliance Challenges for 2020 Learn more -
March 18, 2020
ACA Compliance Releases Top Risk, Compliance Challenges for 2020The current heightened risk climate has not erased the risk financial firms have been dealing with in the last few years.
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March 17, 2020
Do Board Gender Quotas Affect Firm Value? Academics Explore Effects of California Law Learn more -
March 17, 2020
Do Board Gender Quotas Affect Firm Value? Academics Explore Effects of California LawA paper by Clemson University researchers in the wake of a California law presents evidence on the effects of board gender quotas by examining stock market reactions to the law, direct costs of compliance, and the resulting board adjustments.
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March 16, 2020
K&L Attorneys Suggest Oversight Strategies Amid Virus Crisis Learn more -
March 16, 2020
K&L Attorneys Suggest Oversight Strategies Amid Virus CrisisIn a recent publication, attorneys from K&L Gates discussed the SEC’s expanded relief for fund board in-person meetings in light of the global impact of COVID-19.
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March 12, 2020
Draft Bill Calls for Diversity Considerations in Hiring of Subadvisers Learn more -
March 12, 2020
Draft Bill Calls for Diversity Considerations in Hiring of SubadvisersAt recent Capitol Hill hearings lawmakers discussed diversity in the financial services industry and the need to improve representation from more diverse groups, particularly in banking, and released a multimedia report entitled, “Diversity and Inclusion: Holding America’ Large Banks Accountable,” as part of an effort to hold financial institutions accountable and inform the public on how large banks are meeting their commitments to diversity.
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March 11, 2020
SEC Targets Misleading Fund Names in Request for Comments Learn more -
March 11, 2020
SEC Targets Misleading Fund Names in Request for CommentsThe SEC is requesting public comment on its current requirements that restrict the use of potentially misleading fund names.
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March 10, 2020
MFDF Webinar: An Update on the SEC's Whistleblower Program Learn more -
March 10, 2020
MFDF Webinar: An Update on the SEC's Whistleblower ProgramIn 2011, the SEC launched a whistleblower program to incentivize individuals to report possible violations or questionable conduct by offering significant financial bounties for information that leads to a successful SEC enforcement action.
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March 9, 2020
Asset Management Mergers and the Challenges Ahead Learn more -
March 9, 2020
Asset Management Mergers and the Challenges AheadAs the industry absorbs news of yet another mega merger, commentators are beginning to consider the impact of the deal.
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March 6, 2020
MFDF Announces Wyderko's Successor Learn more -
March 6, 2020
MFDF Announces Wyderko’s SuccessorThe Mutual Fund Directors Forum has announced that Carolyn McPhillips, Senior Counsel of the Forum, will succeed Susan Wyderko as President upon Susan's retirement in June 2020.
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March 5, 2020
IM Division Extends No-Action Relief on In-Person Meetings Through June 15, 2020 Learn more -
March 5, 2020
A Refresher on Director Fiduciary Duties from Skadden Learn more