BEA Collecting Data on Transactions with Foreign Persons Investment advisers that had financial services transactions with foreign persons in the 2019 fiscal year may be reqired to complete the .S....
December 01, 2020
New Reg BI FAQs Focus on Use of “Adviser” and “Advisor,” Dual-Hatted Employees SEC staff issued several new FAQs on August 4 on the application of Regulation Best Interest (Reg...
December 01, 2020
How to Maximize Yor E&O/D&O Insrance Coverage in the Event of an SEC Investigation November 1, 2019 The asset management sector has seen significant changes over the last 15 years...
December 01, 2020
SEC Amends Rules to Facilitate Electronic Submission of Filings In a move strongly supported by the IAA, the SEC has taken two further actions acknowledging the widespread use of electronic...
December 01, 2020
SEC Investment Management Director Blass Discusses Regulating for the Future Using money market funds and exchange-traded funds (ETFs) as case studies, the SEC’s Division of Investment Management Director Dalia Blass...
December 01, 2020
CFTC Adopts Select Amendments to CPO and CTA Registration and Reporting Rules The CFTC adopted rules on November 25 that codify certain no-action relief and amend registration and compliance requirements...
December 01, 2020
SEC Provides No-Action Relief Related to Participation in Fed Lending Facility The SEC’s Division of Investment Management has issed a no-action letter related to participation in the Federal Reserve Board’s 2020 Term...
December 01, 2020
Passive Investing’s Past Performance Problem
Many investors see a clear distinction between index investing and active management, but the reality is much more complicated.
November 18, 2020
Tags: Active Management, Active Managers Council , Index Funds, Passive Management