Viewpoints
Conflicts of Interest: Fund officers and directors, service providers
Over the past several weeks, I have written articles exploring conflicts of interest that could challenge a variety of financial industry participants. Those articles explored potential ...
Top of the Agenda - Governance
With ETF share class go-ahead in sight, what's a board to do?
The Securities and Exchange Commission seems poised to grant exemptive relief to one of the earliest applicants seeking to offer an exchange-traded fund share class, just ...
Top of the Agenda - Regulatory
ICI pursues reforming, modernizing '40 Act
The Investment Company Institute this week made public a set of recommendations to reform and modernize the Investment Company Act of 1940, which has not been ...
Viewpoints
Conflicts of Interest: Securities broker-dealers
Securities brokerage firms are a critical part of the financial landscape, as they provide a vast array of products and services to the financial services industry, ...
