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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Resignations, retirements and recruitment over the past five years have led to significant changes in the Sequoia Fund boardroom. The transformation was set in motion in ...
New data from Independent Directors Council suggests that most independent mutual fund directors did not see much of a bump in compensation in 2019, with year-on-year ...
When new members join and long-serving members leave a mutual fund board, it can be difficult to maintain a carefully honed boardroom culture. At Hartford Funds, ...
Mutual funds claiming to invest in accordance with environmental, social, and governance (ESG) principles are not short of attention of late. There is a wide variety ...