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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Susan Wyderko will retire from her position as president and CEO of Mutual Fund Directors Forum in the fall of 2020. When she steps down next ...
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Long-serving independent director Dorothy Berry has died at 75. She was independent chair of Professionally Managed Portfolios and an independent director of PNC Funds who served ...
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