Tags: SEC
Whittier and Fund Manager Agree To Pay Settlement for Civil Regulatory Case
Whittier Trust Co. and fund manager Victor Dosti agreed to pay around US$1.68 million to settle the civil regulatory case filed against them.
SEC Commissioner Gallagher Comments on Proxy Advisors Roles in Corporate Governance
SEC Commissioner Gallagher says one cannot outsource their fiduciary duties. According to a high ranking US securities regulator, lawmakers should review the role that advisory firms play during corporate regulations and determine if regulatory measures are necessary to allow them greater roles during the process.
SEC Chair Caught Between Rock and Hard Place
SEC Chair Jo White is caught between a promise made during her confirmation hearings and the ire of consumer advocates she has sworn to protect.
SEC Studying ETF Registration Process
The SEC is seeking to find ways to ease requirements to allow less complex ETFs to be registered with the bourse.