Regulation BI, Form CRS, Adviser or Advisor, and Fiduciary Duties of Adviser -
In a flurry of proposed rulemaking that added up to more than 900 pages of reading material, the Securities and Exchange Commission (SEC)...more
7/5/2018
/ Best Interest Standard ,
Broker-Dealer ,
Choice of Entity ,
Conflicts of Interest ,
Disclosure Requirements ,
Fiduciary Duty ,
Financial Services Industry ,
Investment Adviser ,
Investment Management ,
Investment Products ,
Liquidity Risk Management Rule ,
Regulatory Oversight ,
Regulatory Requirements ,
Required Forms ,
Securities and Exchange Commission (SEC)
SEC Issues Guidance on Mutual Fund Fee Structure -
The Securities and Exchange Commission’s (SEC) Division of Investment Management recently issued a guidance update addressing disclosure issues and certain procedural...more
1/20/2017
/ Administrative Proceedings ,
Beneficial Owner ,
Brokers ,
Business Continuity Plans ,
Conflicts of Interest ,
Department of Labor (DOL) ,
Enforcement Actions ,
Fiduciary Rule ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Form ADV ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
IRS ,
Mutual Funds ,
OCIE ,
Private Equity Funds ,
Retail Investors ,
Retirement ,
Sales Commissions ,
SEC Examination Priorities ,
Securities ,
Securities and Exchange Commission (SEC) ,
Senior Investors
IRS Issues Proposed Regulations Providing Guidance On The Tax Qualification Of Mutual Funds -
On September 27, 2016, the Internal Revenue Service (IRS) issued proposed regulations (Proposed Regulations) that provide...more
12/15/2016
/ Beneficial Owner ,
Conflicts of Interest ,
Controlled Foreign Corporations ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
FinCEN ,
Foreign Corrupt Practices Act (FCPA) ,
Form ADV ,
Income Taxes ,
Insider Trading ,
Investment Adviser ,
IRS ,
MSRB ,
Mutual Funds ,
OCIE ,
Passive Foreign Investment Company ,
PCAOB ,
Proposed Regulation ,
Registered Investment Companies (RICs) ,
Rule G-37 ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
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...more
5/25/2016
/ Anti-Money Laundering ,
Bank Accounts ,
Banking Sector ,
Beneficial Owner ,
Conflicts of Interest ,
Covered Financial Institutions ,
Customer Due Diligence (CDD) ,
Cybersecurity ,
Department of Labor (DOL) ,
Derivatives ,
ETFs ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Markets ,
FinCEN ,
Form N-PORT ,
Industry Examinations ,
Investment Fraud ,
Investment Management ,
NPRM ,
OCIE ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
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