Month: June 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 …

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

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The former Senior Managing Director and Global Head of State Street Corporation’s Transition Management line was found guilty by a jury of conspiracy and securities fraud. U.S. v. McLellan, No. 1:16-cr-10094 (D. Mass.). Defendant Ross McLellan was found guilty of …

State Street Senior Managing Director Convicted of Securities Fraud Read More »

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