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The weekly news source for investment management legal and compliance professionals

October 24, 2016

This Week's Issue

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Another Adviser Charged in SEC’s Cherry-Picking Crackdown

Advisers engaging in the practice of allocating profitable trades to themselves rather than to their clients need to beware. Not only is the practice illegal and a violation of their fiduciary duty, the SEC is making a point of putting a stop to such activity when it finds it.
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Inspector General: OCIE Improvements Still Needed

The Office of the Inspector General on October 7 said that it was still waiting for the SEC to act on two recommendations it made in a March report to address challenges it found with the Office of Compliance Inspections and Examinations.
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Adviser Settles Fair Value Calculation and Error Correction Allegations

If you’re going to fix a problem, make sure your fix will not land you in further trouble. That may be what one mutual fund adviser Calvert Investment Management is thinking after its October 18 settlement with the SEC.
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