The U.S. federal securities laws, the Commodity Exchange Act and regulations thereunder, and certain other applicable federal laws, rules and regulations, as well as rules of U.S. self-regulatory organizations (such as the...more
The U.S. federal securities laws, the Commodity Exchange Act and regulations thereunder, and certain other applicable federal laws, rules and regulations, as well as rules of U.S. self-regulatory organizations (such as the...more
2/12/2020
/ Asset Management ,
BEA ,
Benefit Plan Sponsors ,
CFTC ,
Commodities Traders ,
Commodity Exchange Act (CEA) ,
Commodity Trading Advisors (CTAs) ,
Compliance ,
CPOs ,
Cross-Border Transactions ,
Employee Retirement Income Security Act (ERISA) ,
Equity Securities ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Form 13F ,
Form ADV ,
Form PF ,
Investment Adviser ,
Investment Funds ,
Large Traders ,
NFA ,
Private Funds ,
Private Placements ,
Reporting Requirements ,
Schedule 13D ,
Securities and Exchange Commission (SEC)
ESG is not a new phenomenon, but its significance for asset managers is growing. With continued media scrutiny of sustainability and environmental pressures, "millennials" forming a greater proportion of the investing...more
12/12/2019
/ Asia ,
Asset Management ,
Board of Directors ,
Corporate Governance ,
Environmental Social & Governance (ESG) ,
EU ,
Investment Funds ,
Investors ,
Private Equity ,
Sustainable Development Goals (SDGs) ,
UK ,
United Nations ,
United States
The U.S. Securities and Exchange Commission (SEC or Commission) issued a cease and desist order (Order) on June 23, 2015, against Pekin Singer Strauss Asset Management Inc. (Adviser), an investment adviser registered under...more
8/6/2015
/ Asset Management ,
CCO ,
Cease and Desist Orders ,
Chief Compliance Officers ,
Compliance ,
Corporate Officers ,
Enforcement Actions ,
Ethics ,
Fraud ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Policy Violations ,
Portfolio Managers ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Tone At The Top
In a recent speech, Bruce Karpati, Chief of the Asset Management Unit (AMU)within the Division of Enforcement (Division) of the U.S. Securities and Exchange Commission (SEC), discussed his view of the current enforcement...more