In the Margins
The Securities and Exchange Commission has scheduled four compliance outreach program seminars for investment companies and investment advisers. The seminars—to take place in Portland, Ore., New York, Boston, and Chicago in May and June—are intended to help chief compliance officers and others enhance their firms' compliance programs. Read the announcement from the SEC.
Most Read
When the Securities and Exchange Commission announced earlier this month it was charging a mutual fund adviser, some of its officers, and two independent fund directors ...
Independent mutual fund directors, on average, took home more pay in 2022 than they did the year prior, according to new figures from Management Practice Inc. ...
The Securities and Exchange Commission on Friday said it has charged an investment adviser, its CCO, its fund's president, and two independent fund directors with "aiding ...
William Birdthistle, director of the SEC's Division of Investment Management, delivered keynote remarks at a mutual fund industry conference this morning but failed to address a ...