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
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. 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)
Following two recent cases involving investment advisers and social media, the SEC recently issued guidance regarding whether the publication of comments about investment advisers on social media sites would violate those...more