News

Mutual fund CCO bonuses shrink YOY

Pay increases slow, except for compliance chiefs at the biggest funds

Marissa Capodanno 26 June, 2017

SEC official warns against asset manager systemic risk

Run risk grows as open-end funds tap into fixed income and alts, SEC’s Bauguess says

Stan Wilson 26 June, 2017

Survey: Oversight liability fears diminish

Board reporting isn’t as frequent as it should be, report shows

Jason Bisnoff 12 June, 2017

Clash erupts over SEC disclosure technology

ICI opposes prop to change fund filing format in favor of more modern options

Stan Wilson 2 June, 2017

Fund lobby backs common language prop

SIFMA’s asset management unit says swaps and derivatives standards should be globalized

Stan Wilson 2 June, 2017

Director pay feels impact of M&A push

Overall compensation is up, but not by as much as last year

Marissa Capodanno 25 May, 2017

Senate hints at trimming FSOC

Transparency measures may gain bipartisan support

Stan Wilson 23 May, 2017

SEC examiner: Increased IA focus planned

Dual registrants will be a focus of regulator’s exam program

Jason Bisnoff 18 May, 2017

IDC launches director training program

Educational offering targets incoming directors, combines online and in-person classes

Marissa Capodanno 18 May, 2017

ICI: SEC needs reminder on board role

Some duties better in hands of fund managers, compliance programs, Stevens says

Marissa Capodanno 15 May, 2017

OCIE still pushing for third-party exams

Low budget expectations fuel plan for outsourced compliance reviews

Jason Bisnoff 11 May, 2017

ICI wants the Hill to solve fiduciary rule

Industry group sees path through Congress if SEC doesn’t intervene

Stan Wilson 11 May, 2017




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