September 30, 2021
September 30, 2021
SEC Charges Former Executives of Registered Investment Adviser with Fraud
READ MORESeptember 29, 2021
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
READ MORESeptember 29, 2021
SEC Charges Investment Bank Compliance Analyst with Insider Trading in Parents’ Accounts and Obtains Asset Freeze
READ MORESeptember 29, 2021
SEC Proposes to Enhance Proxy Voting Disclosure by Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers
READ MORESeptember 28, 2021