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12 hours ago

SEC appoints military judge as Enforcement division chief

Former Marine, former Clarence Thomas clerk Margaret "Meg" Ryan moves from Armed Forces appeals court to lead light-touch Atkins-era Enforcement at SEC
16 hours ago

What fund boards need to ask about cybersecurity

Withdrawal of the SEC’s proposed cybersecurity rules leaves boards to decide whether investors are sufficiently protected
1 day ago

Baron Capital adds interested trustees after 37-year veteran indie retires

Addition of two interested directors comes on the heels of the company’s entrance into market for ETF products
3 days ago

SEC cracks down on two CCOs for changing records after exam requests

SEC enforcement has changed, but the agency will still hold individuals accountable for changes designed to mislead investigators about the quality of an advisers' records
3 days ago

SEC posts stats, graphics tracking details of US capital markets

Interactive graphics present market data on funds, IPOs, advisers, investors and other elements over time, market category and geography
1 week ago

How is AI being used in asset management?

Report on most common use cases for generative AI show where it can help, but oversight may still be lagging
1 week ago

Retirement advisers join fund-industry fans of private-asset markets

ARA, ICI add weight to those eager to give retirement plans, mutual funds and ETFs greater access to investment in private- and digital-assets
1 week ago

IDX Funds renames complex, replaces most of board

IDX becomes Trailmark, replaces two of three trustees, adds new officers and new legal counsel

2 weeks ago

SEI loses veteran interested trustee, adds indies from other SEI boards

SEI presaged May retirement of William Doran by appointing former CFO Dennis McGonigle as interested trustee and adding indies Niepoky and Walker to board now overseeing 10 SEI trusts
2 weeks ago

SEC launches task force to boost internal use of AI

Consolidating disparate AI development toward a single goal could make SEC operations faster, more efficient, according to SEC

Latest

Fund Directions Enforcement actions

SEC appoints military judge as Enforcement division chief

Fund Directions Governance

What fund boards need to ask about cybersecurity

Fund Directions People and Funds

Baron Capital adds interested trustees after 37-year veteran indie retires

Fund Directions Enforcement actions

SEC cracks down on two CCOs for changing records after exam requests

Fund Directions Fund industry

SEC posts stats, graphics tracking details of US capital markets

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