Highlights from the IAA/CMS Trading and Best Exection Smmit: Market Strctre Changes and IAs’ Trading, Best Ex Obligations The IAA’s second annal Trading and Best Exection Smmit, cosponsored by Capital...
December 01, 2020
Maloney Becomes Oversight Committee Chair; Relinqishes Key Financial Services Sbcommittee Rep. Carolyn Maloney (D-N.Y.) was elected by Hose Democrats on November 20 to serve as head of the powerfl Hose...
December 01, 2020
2020 Investment Management Compliance Testing Srvey: BCP Related to COVID-19 Now Top Compliance Concern Bsiness Continity Planning related to COVID-19 is now the top concern of investment management compliance professionals...
December 01, 2020
Compliance Training: A Marathon Withot a Finish Line By Matthew Bromberg and Jenna Brch, Dorsey & Whitney LLP* Registered investment advisers are reqired by law to develop and follow written...
December 01, 2020
CFTC Finalizes Cross-Border Application of the Swap Dealer Registration Thresholds and Other Requirements On July 23, the CFTC voted 3-2 to adopt a final rule that addresses the cross-border application...
December 01, 2020
IAA Backs Bill to Toghen Secrity for Adviser Data Collected by SEC The IAA is spporting legislation that wold reqire the SEC to adopt policies and procedres governing when it...
December 01, 2020
New Active Managers Concil White Paper Challenges Common Criticisms of Active Management Active managers can and do otperform their indexes and investors can identify managers more likely to otperform in...
December 01, 2020