In the Margins
The Securities and Exchange Commission filed a record number of enforcement actions for its September-ending fiscal year, including the most ever cases against investment advisers and investment companies. The SEC brought 868 enforcement cases in total, up from 807 in FY'15; 160 of the cases were brought against advisers and investment companies. Read the release 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 ...