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The latest round of penalties assessed for violations of the U.S. Securities and Exchange Commission (SEC) pay-to-play rule highlight the strict liability nature of Rule 206(4)-5. This...
Securities and Exchange Commission Request for Comment on Certain Information Providers Acting as Investment Advisers.1 The Request if for what the SEC refers to as information providers or providers: index providers; model portfolio providers; and pricing services.
Introduction - On 15 June 2022, the Securities and Exchange Commission (SEC) issued a “Request for Comment on Certain Information Providers Acting as Investment Advisers” (Request).
Securities and Exchange Commission issued Request for Comment on Certain Information Providers Acting as Investment Advisers addressing three categories of what the SEC refers to as information providers: index providers, model portfolio providers, pricing services.
The European Sea Ports Organisation (ESPO) is calling for uniform, clear application of the newly-im...