Filter by Type

    etf

    time 1 minute read

    Marketplace starts the year with the first successful mutual fund to ETF conversion

    With $245 billion1 in record flows for U.S.-listed ETFs in Q1 2021, asset managers are looking for...

    form pf

    time 2 minute read

    Form PF reminders for advisors to private funds and hedge funds

    Why is Form PF important?

    regulation

    time 2 minute read

    After The Flood

    Bernie Madoff was arrested on December 11, 2008. Many victims were permanently harmed and suffered...
    Risk Alert

    sec

    time 5 minute read

    The Division of Examinations’ Review of ESG Investing

    On April 9, 2021, the Securities and Exchange Commission’s (“SEC”) Division of Examinations[1]...

    cftc

    time 1 minute read

    Planning for the CFTC’s Revised Form CPO-PQR for Q1 2021

    In December 2020, the Commodity Futures Trading Commission’s (“CFTC’s”) Form CPO-PQR was amended to...

    sec

    time 4 minute read

    SEC’s 2021 Examination Priorities Address Climate and ESG-Related Risks

    On March 3, 2021, the SEC’s Division of Examinations (“Division”) announced its 2021 examination...
    Load More

    Marketplace starts the year with the first successful mutual fund to ETF conversion

    Sonja Formato | May 4, 2021 7:30:00 AM

    Form PF reminders for advisors to private funds and hedge funds

    Curtis Flippen | Apr 27, 2021 8:20:35 AM

    After The Flood

    Steve Murphy | Apr 19, 2021 7:30:00 AM

    The Division of Examinations’ Review of ESG Investing

    Douglas Kamin | Apr 16, 2021 7:45:00 AM

    Planning for the CFTC’s Revised Form CPO-PQR for Q1 2021

    Jim Chekos | Apr 15, 2021 7:30:00 AM

    SEC’s 2021 Examination Priorities Address Climate and ESG-Related Risks

    Les Abromovitz | Mar 5, 2021 8:00:00 AM

    Risk Alert: The SEC continues to focus on Digital Asset Securities

    Stacy Howell-Pereira | Mar 2, 2021 8:00:00 AM

    FINRA Releases 2021 Report on Risk Monitoring + Examination Activities

    Ginny Voos | Feb 8, 2021 6:45:00 AM

    DOL’s Final Rule on Investment Duties of ERISA Fiduciaries Becomes Effective

    Foreside | Jan 19, 2021 7:23:00 AM

    This article is not a solicitation of any investment product or service to any person or entity.
    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.