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
As mutual fund board members look forward to 2023, which is just around the corner, they are faced with a number of challenges and tasks unique ...
What started out as a vision to help key mutual fund stakeholders understand how evolutions in the capital markets, in governance practices, and in the regulators’ ...
The news on Tuesday that Goldman Sachs Asset Management agreed to pay $4 million to settle Securities and Exchange Commission charges related to how it manages ...
So much has happened in the world in the past several years that has (hopefully) made all of us think about what we have, while also ...