Financial Times Specialist work:
ICI, Chamber Cite Supreme Court Ruling in Threats Against SEC
Gabelli's Tight Grip on Gamco May Hurt Funds, Staff Retention
'We've Had Enough, Gary!' Investors Rally Outside SEC Offices
Lawmakers Grill FTX's 'Corporate Governance of a College Frat'
U.S. Shops in China Face Distribution, Operational Hurdles
Explainer: How an EPA Rule Challenge Could Impact the SEC
Sanders Changes Senate Committee Tone, Yet Seeks Compromise
The Compliance Tasks ChatGPT Can (and Can't) Handle
Alger Cut Veteran Employees Due to Firm's Finances
Vague Provision in Best-Ex Draft Rule Could Have Ripple Effects
Fed Takes a Deep Dive into Funds' Liquidity Tools
FSOC Restarts Fight Over Who’s Too Big to Fail
MMF Gains Could Invite Heightened Regulatory Scrutiny
SEC Sweep Targets Fund Fees – and How Boards Approve Them
SEC Sweep Targets Private Funds on Custody Rule Audits
Untangling Proxies: The Evolution of Four Rules
Lawsuit May Be Brewing over SEC’s Climate Rule
ICI to Add CITs, SMAs to Mission
ICI Shakes Up Communications Staff
Congress Stock Ban Could Bring $1B into Funds
To the Moon (and Back): One Year Since GameStop
JPM to Scrap 12b-1s on Converting ETFs. Just Not Yet.
Proxy-Plumbing Reform Group Reaches Impasse
Video: The 'Information Wall' Dividing T. Rowe and Its Spinoff
Shops Caught Up in SEC Data Breach Probe
Printing Vendor to Shed 143 Jobs
Goodbye, Sweatpants: Shops Prep for Office Return
The Future of Reg BI: Reform, Repeal or Disregard? Reg BI Under a New SEC Chair
The Future of Reg BI: Four's the Charm? 3 SEC Chairs Rejected a Uniform Fiduciary Rule
T. Rowe to Spin $167B in Assets Into New Entity
Fund Intelligence work:
How will BNY Mellon balance in-house fund giants against third parties in new OCIO business?
Industry pros see potential ETF regulation for Libra cryptocurrency
What retirement benefit rollbacks mean for the DC market
Worries over AI bias, fiduciary duty accompany rise of robos
LPL to pay $1.5m after Bermudan government froze client funds
MIT president pressed to testify in retirement suit after Epstein letter
Nasdaq CEO testifies in ETF Managers Group suit
Nasdaq wins $78m judgment in suit against ETF Managers Group
Reg. BI upheld on appeal, as DOL unveils new exemptions
Santander pays out over Puerto Rico bond failout
Schwab files fourth suit against ex-broker in recent weeks
Suit accuses MIT of keeping Fidelity as recordkeeper in exchange for donations
Supreme Court upholds disgorgement but with new constraints
Trial begins in Nasdaq fee suit against ETF Managers Group
USO ETF sued over disclosures following COVID-19 plummet
North case stirs fears of increased CCO liability
SEC enforcers seek firms internal communications in share class violation hunt
Whistleblowers factor in 40% of CFTC enforcement actions
SEC’s exams of ESG funds put disclosure in crosshairs
Overreach questions loom over SEC position on private fund investments
2020 election: where industry donations are going
Antitrust pros outline possible Schwab-TD merger hurdles
CGT, Reg BI and transaction taxes: where the 2020 Dems stand on asset management issues
Clayton: 401(k) access to PE won’t require SEC rule change
Comments on Nevada fiduciary rule point to legal challenge over preemption
Fiduciary rule recusal questions follow Eugene Scalia’s nomination
Finra plans rules that would limit broker expungements
How will access to private equity open up the DC landscape?
Interval funds: how they got here and where they’re going
MSRB eyes 2020 changes to supervision, standard of conduct rules
New CEF model to offer retail PE access
New relief poised to greatly ease private fund co-investments
Reg. BI is here: how Dodd-Frank and the DOL rule set the stage
Robo-advisers face classification questions amid Reg. BI debate
SEC guidance hits proxy advisers and adds asset manager burdens
SEC set to approve Stone Ridge bitcoin futures interval fund
SEC votes to propose accredited investor extension
SEC’s proposed ETF rule will expand heartbeat trades
The eternal return of the transaction tax raises industry eyebrows