Investment Adviser AXA Wins Excessive Fee Trial -
A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more
10/27/2016
/ AXA Equitable Life ,
Beneficial Owner ,
Best Interest Contract Exemptions ,
BSA/AML ,
Business Continuity Plans ,
Conflicts of Interest ,
Customer Due Diligence (CDD) ,
Cybersecurity ,
Department of Labor (DOL) ,
Derivatives ,
Disclosure Requirements ,
Distribution Rules ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Excessive Fees ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Form ADV ,
Form N-CEN ,
Form N-PORT ,
Industry Examinations ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Limited Liability Company (LLC) ,
MSRB ,
Mutual Funds ,
OCIE ,
Partnerships ,
Private Equity ,
RAUM ,
Reporting Requirements ,
Required Forms ,
Retirement Plan ,
Rule G-37 ,
Sanctions ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations ,
SMAs
The Securities and Exchange Commission Adopts Amendments to Form ADV and Investment Adviser Act Rules -
The Securities and Exchange Commission (SEC) adopted amendments to Form ADV and Investment Advisers Act of 1940...more
9/15/2016
/ 529 Plans ,
Beneficial Owner ,
Best Interest Contract Exemptions ,
Broker-Dealer ,
Business Continuity Plans ,
Conflicts of Interest ,
Department of Labor (DOL) ,
Derivatives ,
Disclosure Requirements ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Examination Priorities ,
Fees ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
FinCEN ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
MSRB ,
Mutual Funds ,
OCIE ,
Political Contributions ,
Private Equity ,
Registered Investment Companies (RICs) ,
Risk Alert ,
Rule G-37 ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Share Classes
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry.
...more
4/19/2016
/ Best Interest Contract Exemptions ,
BSA/AML ,
Charles Schwab ,
Conflicts of Interest ,
Cybersecurity ,
Department of Labor (DOL) ,
Derivatives ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Exchange-Traded Products ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Form N-CEN ,
Form N-PORT ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Investment Fraud ,
Janus Capital Group ,
Liquidity ,
Money Market Funds ,
Mutual Funds ,
NRSRO ,
OCIE ,
Retirement Plan ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Swing Pricing ,
Variable Annuities ,
Whistleblower Awards
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA...more
3/25/2016
/ Anti-Money Laundering ,
Cybersecurity ,
Derivatives ,
ETFs ,
Exchange-Traded Products ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
Fund Distribution ,
Investment Management ,
Money Market Funds ,
Mutual Funds ,
OCIE ,
Political Contributions ,
Regulatory Standards ,
Retirement Plan ,
SEC Examination Priorities ,
Whistleblowers
Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. Schwab...more
10/15/2015
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Banking Sector ,
Banks ,
Breach of Contract ,
BSA/AML ,
Census ,
CMOs ,
Collateralized Loan Obligations ,
Compliance ,
Currency Transaction Reports (CTR) ,
Cybersecurity ,
Data Security ,
Department of Labor (DOL) ,
Disclosure Requirements ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
FinCEN ,
Form ADV ,
Form N-CEN ,
Form N-PORT ,
Form N-SAR ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Management ,
Investment Portfolios ,
Investors ,
Janus Capital Group ,
Lehman Brothers ,
Money Laundering ,
MSRB ,
Municipal Advisers ,
Mutual Funds ,
OCIE ,
Private Equity Funds ,
Recordkeeping Requirements ,
Regulation S-X ,
Regulatory Standards ,
Retirement ,
Retirement Plan ,
Rule 10b-5 ,
SAR ,
SCOTUS ,
Securities Act ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs) ,
Terrorism Funding ,
Trading Platforms ,
Whistleblower Awards ,
Whistleblowers
In July 2014, the SEC settled the previously reported proceeding involving Chariot Advisors, and its former owner, Elliott Shifman, concerning charges of violating and aiding and abetting the violation of Section 15(c) of the...more
7/11/2014
/ 401k ,
Anti-Retaliation Provisions ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
EU ,
Investment Advisers Act of 1940 ,
Municipal Advisers ,
Mutual Funds ,
Sarbanes-Oxley ,
SCOTUS ,
Section 15(c) ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Treaty on the Functioning of the European Union (TFEU)