Privilege ruling could discourage cooperation

Law firm’s willingness to cooperate with SEC inadvertently waived client privilege

Jason Bisnoff 15 December, 2017

Fund firms say exchanges are overcharging them for crucial trading data

Stan Wilson 13 December, 2017

Firms still need to collect data, make it available to commission upon request

Marissa Capodanno 11 December, 2017

Firms still need to collect data, make it available to commission upon request

Marissa Capodanno 11 December, 2017
Division of Investment Management

Blass prioritizes review of board duties, begins engagement phase of project

Marissa Capodanno 11 December, 2017

Paul Cellupica said work on a standard of care will be a priority for DIM

Jason Bisnoff 5 December, 2017

Closed call: The vote to convert to a closed-end fund

Inside Highland’s decision to close-end one of its funds

Marissa Capodanno 20 November, 2017
Research commissions, Mifid II unbundling

Soft Dollars: Mifid II implications for stateside fund boards

US mutual fund boards examine soft dollar policies amid EU reg’s unbundling requirement

Marissa Capodanno 23 October, 2017
Mutual fund directors

D&O insurance: More than a security blanket for directors

Low liability risk does not equal zero liability risk

Fund Directions 2 October, 2017

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