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SEC Targets Misleading Fund Names in Request for Comments
The SEC is requesting public comment on its current requirements that restrict the use of potentially misleading fund names. The request seeks feedback on whether the current requirements are effective...
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Draft Bill Calls for Diversity Considerations in Hiring of Subadvisers
At recent Capitol Hill hearings lawmakers discussed diversity in the financial services industry and the need to improve representation from more diverse groups, particularly in banking, and released a...
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K&L Attorneys Suggest Oversight Strategies Amid Virus Crisis
In a recent publication, attorneys from K&L Gates discussed the SEC’s expanded relief for fund board in-person meetings in light of the global impact of COVID-19. The lawyers also listed several...
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Do Board Gender Quotas Affect Firm Value? Academics Explore Effects of...
A paper by Clemson University researchers in the wake of a California law presents evidence on the effects of board gender quotas by examining stock market reactions to the law, direct costs of...
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ACA Compliance Releases Top Risk, Compliance Challenges for 2020
The current heightened risk climate has not erased the risk financial firms have been dealing with in the last few years. A new paper from ACA Compliance notes that the industry has “seen the rise of...
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Members Exchange Expects to Launch in July
MEMX, a new independent stock exchange founded by large brokers including Charles Schwab and E*Trade, says it will launch in July if it obtains regulatory approval from the SEC, which it expects in the...
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