Quantcast
Browsing all 1586 articles
Browse latest View live

Image may be NSFW.
Clik here to view.

MFDF Webinar: Evaluating the Evaluators - New Guidance on Pricing from the SEC

The SEC’s recent release adopting amendments to money market funds contained new guidance for mutual fund directors regarding their valuation obligations. The release discusses the obligations of...

View Article


Image may be NSFW.
Clik here to view.

A 75-Year Retrospective on the Investment Company and Investment Adviser Acts

Jay Baris and Andrew Donohue review the 75-year history of investment company and investment adviser regulation in Still Spry at 75: Reflections on the Investment Company Act and the Investment...

View Article


Image may be NSFW.
Clik here to view.

Department of Labor Releases Fiduciary Proposal

The Department of Labor issued a proposal on Tuesday for its long-awaited fiduciary rule. The proposal provides that “any individual receiving compensation for providing advice that is individualized...

View Article

Image may be NSFW.
Clik here to view.

New Forum Report: The Board/CCO Relationship

The Forum recently released a paper titled The Board/CCO Relationship, which provides significant insights for fund directors and other fund industry professionals on elements of a fund board’s...

View Article

Image may be NSFW.
Clik here to view.

IMF Examines Mutual Fund Systemic Risk

The latest version of the International Monetary Fund’s Global Financial Stability Report includes a chapter on “The Asset Management Industry and Financial Stability.” The report acknowledges changes...

View Article


Image may be NSFW.
Clik here to view.

Regulators Seek Pause Button on Repo Termination Rights

Global banking regulators are pushing industry groups to make changes to the standard contracts that govern repurchase agreements and securities lending transactions, the Wall Street Journal reports....

View Article

Image may be NSFW.
Clik here to view.

SEC Charges BlackRock with Failure to Report Conflict of Interest to Board

The SEC recently charged BlackRock Advisors LLC and its former CCO with violations relating to conflicts of interest resulting from the activities of a portfolio manager. According to the SEC, the...

View Article

Image may be NSFW.
Clik here to view.

SEC Releases Valuation Guidance FAQs

The SEC released a two-question set of Frequently Asked Questions related to the valuation guidance that was included with the July 2014 Money Market Funds release. The release stated that the board...

View Article


Image may be NSFW.
Clik here to view.

Dechert to Hold Alternative Funds Symposium

Dechert’s Financial Services group is hosting a Global Alternative Funds Symposium on Wednesday, April 29 from 2:00 to 6:00pm in New York. The event will feature keynote addresses from Barry Bausano,...

View Article


Image may be NSFW.
Clik here to view.

SEC Fines Adviser for Skewed Profitability Reporting

The SEC settled a case last week against Kornitzer Capital Management (“KCM”), adviser to the Buffalo Funds, and Barry Koster, KCM’s CFO and CCO, for alleged violations of Section 15(c). According to...

View Article

Image may be NSFW.
Clik here to view.

SEC Releases FAQ on Money Market Fund Reforms

The Division of Investment Management released a set of 53 Frequently Asked Questions last week relating to the money market reforms adopted in July 2014. The document was accompanied by an FAQ on the...

View Article

Image may be NSFW.
Clik here to view.

Five Years Later, Flash Crash Spoofer Arrested

Last week, UK authorities arrested Navinder Singh Sarao, a futures trader that the CFTC claims may have contributed to the May 6, 2010  “Flash Crash”. In a September 2010 report, the SEC and CFTC...

View Article

Image may be NSFW.
Clik here to view.

Volcker Suggests Financial Regulatory Shakeup

The Volcker Alliance, an organization launched in 2013 by former Fed Chair Paul Volcker, released a report last week calling for an overhaul of the United States financial regulatory system which it...

View Article


Image may be NSFW.
Clik here to view.

Norwegian Wealth Fund Offers Insights on Sourcing Liquidity

A new report from Norges Bank Investment Management, an asset manager responsible for managing the Government Pension Fund of Norway, offers insight into how the asset manager sources liquidity for...

View Article

Image may be NSFW.
Clik here to view.

E&Y to Hold Annual Mutual Fund Seminar Series in New York, Chicago, Boston

Ernst & Young’s annual Mutual Fund Seminar series kicks off in New York on May 13, 2015. The event will feature keynote speaker William McNabb, III, Chairman and CEO of Vanguard. The seminar will...

View Article


Image may be NSFW.
Clik here to view.

Division of Investment Management Releases Cybersecurity Guidance

The SEC’s Division of Investment Management released guidance last week that addresses issues of cybersecurity for funds and advisers. The guidance cites attacks against financial services firms,...

View Article

Image may be NSFW.
Clik here to view.

Effective Board Especially Crucial for New Alternative Funds

In a recent article for FINalternatives, Forum President and CEO Susan Wyderko, reminds advisers coming from the private fund space that a well-functioning board is key to a fund’s success. Wyderko...

View Article


Image may be NSFW.
Clik here to view.

A Preview of 2015 Advisers Act Developments

According to Jesse Kanach, asset management can be boiled down to three principal aspects: outreach, operation, and market interaction. In Investment Advisers Act Compliance Developments in 2015,...

View Article

Image may be NSFW.
Clik here to view.

ETF Growth Outpaces Mutual Funds

ETFs are seeing significant growth vis-à-vis mutual funds, according to new data from Broadridge Financial Solutions. In retail channels (independent and wirehouse broker dealers, registered...

View Article

Image may be NSFW.
Clik here to view.

MFDF Webinar: Fund Director Compensation - The MPI Annual Survey (2015)

Management Practice has conducted an annual survey of mutual fund director compensation for over 20 years.  Each spring MPI releases its "Survey of Mutual Fund Director/Trustee Compensation and...

View Article
Browsing all 1586 articles
Browse latest View live