- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Complex risks connected to derivatives, liquidity, and trading mean that mutual fund boards must ensure they are equipped to address continuously evolving challenges, while not stepping over the line that divides oversight from day-to-day management. That’s the word from SEC Chair Mary Jo White, who delivered the keynote address at ...
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Merrill Lynch will pay more than $7.2 million in restitution and interest to customers who incurred unnecessary sales charges and paid excess fees in connection with mutual fund transactions, FINRA announced.
State Street will pay $88.8 million to resolve charges with the SEC that it overcharged mutual funds and other registered investment company clients for expenses related to the firm’s custody of client assets.
The Trump administration is trying a new strategy to seize control over independent agencies’ rulemaking processes and the guidance they issue.
