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.
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The U.S. Supreme Court on Monday agreed to consider whether private parties should be allowed to bring claims that fund contracts violate the Investment Company Act ...
It's officially summertime, which means FBV's annual Summer Reading List is here. We curate the list each year by soliciting recommendations from our readers and friends ...
ASA Gold and Precious Metals Ltd. shareholders voted at a special meeting last week to enlarge the closed-end fund's board and elected a fifth independent director, one ...
Members of the Heartland Funds board and Heartland Advisors management team spent a recent evening together sharing a meal. Of course it's not unusual for independent ...