Stay updated with breaking news from W Thomas Conner. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.
SEC published request for comment on information providers, including index providers, model portfolio providers, pricing services, whose activities they believes may cause them to meet definition of investment adviser under Advisers Act.
W. Thomas Conner is an attorney in the Investment Services group in the firm’s Washington, DC office he has represented financial services companies, including mutual funds, exchange traded funds (ETFs), insurance companies issuing fixed and variable annuities, commodity pools and commodity pool operators and other types of financial services firms.
W. Thomas Conner is an attorney in the Investment Services group in the firm’s Washington, DC office he has represented financial services companies, including mutual funds, exchange traded funds (ETFs), insurance companies issuing fixed and variable annuities, commodity pools and commodity pool operators and other types of financial services firms.
Rule 18f-4 reflects a wholesale replacement of the existing asset segregation-based regulatory regime for mutual funds, closed-end funds, BDCs, EFTs and other registered funds that engage in derivatives transactions