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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Fund industry litigators and others are watching an expansive class-action lawsuit filed recently against an interval fund that has been scheduled for liquidation since mid-2023, certain ...
Dimensional Fund Advisors is preparing to launch exchange-traded fund share classes of a selection of its open-end mutual funds in the early part of 2026, and ...
The very first independent chair we profiled for FBV was Leigh Wilson at Victory Funds, for our A Seat at the Table section. Victory Capital Management had recently redefined itself ...
The Securities and Exchange Commission's move earlier this week to greenlight Dimensional Fund Advisors' plan to offer ETF share classes of its mutual funds is likely ...