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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Columbia Funds is in the process of consolidating governance into a unitary board by moving the seven funds in the Columbia Acorn Trust and Wanger Advisors ...
Guinness Atkinson Funds has added two new independent directors to bump the size of the board back up to six members following the year-end retirement of ...
Securities and Exchange Commission Chairman Gary Gensler’s fast and furious rulemaking era will soon be ending, and it is a good time to take stock of ...
Congress created business development companies in 1980 to support job growth and help emerging companies raise funds. As of 2023, there were 139 BDCs with $312 ...