SEC opens US funds to global investors

New structure may boost assets in US mutual funds and ETFs

Stan Wilson 28 March, 2017

Court sides with Great-West board in motion to compel

Strength of independent counsel testimony could deter demands for directors to waive client privilege

Marissa Capodanno 27 March, 2017

Confirmation hearing: Clayton will target individuals

Trump’s nominee for SEC chair tells Senate he has ‘zero tolerance for bad actors’

Stan Wilson 24 March, 2017

Regulators urge firms to come clean on wrongdoing

Self-report violations before a whistleblower does, panel says

Stan Wilson 21 March, 2017

Directors may overestimate client privilege

Labeling something confidential won’t protect you in court, lawyers say

Marissa Capodanno 17 March, 2017

Panel: Board role needs retrospective review

IDC plans to ‘dust off’ report it made for Donohue’s Director Outreach Initiative

Marissa Capodanno 15 March, 2017

Dodd-Frank overhaul considered unlikely

ICI conference panelists push to limit FSOC’s SIFI-designating authority

Stan Wilson 15 March, 2017

Tax reform talk turns optimistic

Overhaul hinges on Senate intentions and fate of Affordable Care Act

Stan Wilson 15 March, 2017

ICI, DIM: Industry can handle a little uncertainty

Forward priorities include T+2, fiduciary rule, derivatives, disclosure, ETFs and third-party exams

Marissa Capodanno 14 March, 2017

Second manager-of-managers 36(b) case dismissed

Court decides Hartford case in favor of the fund adviser

Marissa Capodanno 12 March, 2017

Officials fret over open-end fund liquidity

Proliferation of illiquid portfolio investments calls open end structure into question

Stan Wilson 6 March, 2017

SEC aims to make regs investor-friendly

Research initiative to explore investor awareness of link between fees and performance

Stan Wilson 6 March, 2017

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