Browsing Tag
SEC regulation
13 posts
The SEC is Scrutinizing ESG Funds
ESG is one of the 10 most-searched financial terms of 2019, and people are allocating more money to…
Fee Pressure: Mutual Fund Company Oversight Increasingly Focused On Payments to Intermediaries
Boston Financial finds that more than half of the respondents (59%) to its 5th Annual Financial Intermediary Administration…
SEC Charges Retirement Plan Custodian in Connection With Ponzi Scheme
An Ohio-based self-directed IRA provider finds itself in hot water, accused by the SEC of ignoring red flags…