Year: 2018

A Commission Focus on Retail Investors, Compliance

Compliance is a critical function for any business. Not only can it serve as a possible defense, or at least a mitigating factor if there is a malfeasance, it can also help ensure that the firm operates in accord with

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This Week In Securities Litigation (Week ending June 29, 2018)

The Commission issued rules this week regarding changes to its public liquidity risk management disclosure for open ended funds. In addition, proposed rules were issued regarding its whistleblower program and the regulatory framework for ETFs. A second insider trading case

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