IAA wants fiduciary marketing exemption changes

Industry group says IAs explaining their services could trigger fiduciary relationships

Peter Rawlings 15 August, 2017
Bitcoin, blockchain, virtual currency

Federal securities laws govern initial coin offerings, virtual currencies and their platforms

Jason Bisnoff 14 August, 2017
SEC, mutual fund industry regulator, mutual fund boards

SEC’s examiners say most fund companies’ cyber policies and procedures are too general

Stan Wilson 11 August, 2017
SEC, mutual fund industry regulator, mutual fund boards

SEC’s examiners say most fund companies’ cyber policies and procedures are too general

Stan Wilson 11 August, 2017

Not-yet-implemented parts of best interest contract exemption pushed to next July

Noah Zuss 10 August, 2017
Mutual fund regulation uniform fiduciary standard

Industry group encourages SEC, DOL collaboration on amended best interest standard

Noah Zuss 10 August, 2017
Fulcrum fees, mutual fund fee pressure

Active managers test fulcrum fees to level playing field

Structure allows investors to pay active-level fees only when fund beats benchmark

Peter Finnerty 20 July, 2017
Closet index funds, mutual fund governance

Closet index funds: a fund director’s guide

Macro industry changes have boards asking just how active their actively managed funds are

Marissa Capodanno 19 July, 2017

Small shops turn fresh eyes to series trusts

Increasing costs and competition are pushing small, established mutual funds to reorganize as series trusts

Marissa Capodanno 13 June, 2017

Structure allows investors to pay active-level fees only when fund beats benchmark

Peter Finnerty 20 July, 2017

Regulatory slowdown turns mutual fund boards’ attention to state of the market

Marissa Capodanno 20 July, 2017

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