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
In This Issue:
- SEC Proposes Changes to Reporting and Disclosure Obligations for Investment Companies and Advisers
- SEC Charges Hedge Fund Executives and External Auditor for Improper Disclosure of Expense...more
6/19/2015
/ Administrative Appointments ,
Anti-Retaliation Provisions ,
Chief Compliance Officers ,
Cybersecurity ,
Department of Labor (DOL) ,
Employer Liability Issues ,
Enforcement Actions ,
EU ,
Fiduciary Duty ,
Hedge Funds ,
Industry Examinations ,
Investment Adviser ,
Investment Funds ,
Investment Management ,
Money Market Funds ,
Municipal Advisers ,
OCIE ,
Pay-To-Play ,
Puerto Rico ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards