New policies focus SEC enforcement on fraud and other basic issues, but reports warn that staff shortages have already the agency's enforcement capacity
ICI, MFDF argue "chaos" would result from any ruling that allowed shareholders to sue over almost any contract
3 days ago
Non-tech keys to cybersecurity oversight
Fund directors must bone up on tech, but their knowledge of governance and spending are just as important
Longtime board chair, administrator executive John Buckel's retirement leads to a series of appointments among trustees and managers
Details of AI may be challenging, but the critical questions focus on how AI changes fund processes directors already understand
Bringing in-house funds now outsourced to series-trust providers may help expand firms's role as adviser, help launch new ETFs
Former Marine, former Clarence Thomas clerk Margaret "Meg" Ryan moves from Armed Forces appeals court to lead light-touch Atkins-era Enforcement at SEC
2 weeks ago
What fund boards need to ask about cybersecurity
Withdrawal of the SEC’s proposed cybersecurity rule leaves boards to decide whether investors are sufficiently protected
Addition of two interested directors comes on the heels of the company’s entrance into market for ETF products
SEC enforcement has changed, but the agency will still hold individuals accountable for changes designed to mislead investigators about the quality of an adviser's records
