Chairman of the Securities and Exchange Commission

Clayton: Enforcers scoping 12b-1 fees, digital assets

SEC chair lays out near-term priorities

Peter Rawlings 10 November, 2017
Division of Investment Management

Request to speed up ETF applications may clash with other ETF rulemaking

Stan Wilson 15 November, 2017
SEC, mutual fund industry regulator, mutual fund boards

Vendor assessments of large funds vary too widely, group says

Stan Wilson 10 November, 2017
SEC, mutual fund industry regulator, mutual fund boards

Vendor assessments of large funds vary too widely, group says

Stan Wilson 10 November, 2017
Mutual fund regulation

Commission cites potential conflicts of interest

Stan Wilson 9 November, 2017

Rule is technically effective, but Best Interest Contract Exemption likely delayed

Noah Zuss 3 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

Stocking a mutual fund’s liquidity toolbox

Liquidity rule oversight turns attention to operations

Marissa Capodanno 24 August, 2017

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