Recent Fines Illustrate Importance of Marketing Rule Compliance for Investment Managers
On September 9th, the SEC announced charges against nine investment managers for non-compliance with the…
Author: Scott Parkin
How Will the SEC’s Bad Summer Impact the Investment Management Community?
Simply put, this is not a summer to remember for the SEC and there could…
Selling US Funds in the EU Is Not Nearly As Complicated as It Seems
There is common misconception among US and other non-EU investment managers that selling their funds…