Tag
#Managed Funds Association
Regulation
Fewer SEC cases still leave asset managers exposed
SEC asset managers remain a core enforcement target as case counts fall, leaving advisers exposed on fees, valuations, conflicts and client assets.
By Tomás Iglesias
Regulation
SEC reset keeps adviser, retail-fraud cases in focus
Paul Atkins says the SEC will judge enforcement by quality, but David Woodcock's early signals suggest adviser misconduct and retail fraud still sit near the top of the docket.
By Tomás Iglesias
