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.
Most Read
Independent mutual fund director compensation levels increased in 2021, though the year-on-year change was significantly lower than in 2020, according to new data obtained by Fund Board ...
The mutual fund industry is pushing back against two recent rule proposals from the Securities and Exchange Commission regarding disclosures around environmental, social, and governance investing ...
The Securities and Exchange Commission has begun requesting documentation and information from mutual fund advisers about their funds' 15(c) processes and fees. The Division of Enforcement ...
Today is the Summer Solstice, and what better way to spend some time on the longest day of the year than to plot out what to ...