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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Andrew "Buddy" Donohue has joined two of the five BNY Mellon (formerly Dreyfus) mutual fund board groups led by long-serving independent Chairman Joseph DiMartino. Donohue resigned ...
Mutual fund chief compliance officers saw notable increases in pay again in 2018, though they did not receive as big a pay bump as they did ...
Hello, Summer 2019! Today's solstice marks the beginning of the season, and that—hopefully—means a slower pace for a few months. Trips to the beach, time on ...
Recruitment can be an exhaustive undertaking for a mutual fund board, particularly if a number of departures take place at once or in close succession. But ...