The first half of 2022 saw significant U.S. Securities and Exchange Commission (SEC) enforcement and rulemaking activity around environmental, social, and governance (ESG) investing. In its regulation of ESG investing, the...more
In today’s asset management landscape, cybersecurity threats are omnipresent, and with constantly evolving tools of attack, actual breaches have become increasingly prevalent. As the complexity, scope, and frequency of cyber...more
3/2/2022
/ Broker-Dealer ,
Comment Period ,
Cybersecurity ,
Disclosure Requirements ,
Investment Adviser ,
Investment Companies ,
Popular ,
Proposed Rules ,
Registered Investment Advisors ,
Reporting Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC)
Over the past several years, U.S. Securities and Exchange Commission (SEC) enforcement activity has eroded the stability of the once-standard lineup of share classes available to mutual fund investors. Starting with...more
10/24/2019
/ 12b-1 plan ,
Best Practices ,
Broker-Dealer ,
Disclosure Requirements ,
Enforcement Actions ,
Fiduciary Duty ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Mutual Funds ,
OCIE ,
Proposed Rules ,
Revenue Sharing ,
Securities and Exchange Commission (SEC) ,
Share Classes