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New SEC dealer rule sparks concern | Investment Executive

Fund industry critics worry about rules' impact on liquidity, costs

Hester peirceGary genslerJack inglisSarah bessinInvestment management associationInvestment company instituteAlternative investment management association

New SEC dealer rule sparks concern

Fund industry critics worry about rules' impact on liquidity, costs

Hester peirceSarah bessinJames langtonJack inglisGary genslerExchange commissionInvestment management associationInvestment company instituteAlternative investment management association

Regulatory issues for fund industry not unique to Canada

Total cost reporting, ESG challenges discussed at IFIC conference

Jonathan lipkinShalomi abrahamSarah bessinCost transparency initiativeInvestment associationInvestment company instituteExchange commissionClient relationship model phasePollara insightsCanadian securities administrators

Industry groups question SEC trading-execution reforms

SEC proposals designed to reform execution of equity orders are getting strong pushback from financial industry groups.

United statesKevin ercolineSarah bessinEllen greeneKenneth bentsen jrEric panGary genslerChristopher iacovellaAmerican securities associationInvestment company instituteFinancial markets associationExchange commissionRegulation best executionBest executionSecurities association

SEC Approves New Rules for Proxy Voting | Chief Investment Officer

The new rule requires institutional investment managers to disclose their proxy votes on executive compensation and makes updates to Form NP-X.

William birdthistleSarah bessinCaroline crenshawJessica wachterExchange commissionInstitutional shareholder servicesDivision of investment managementDivision of economicInvestment company instituteInvestment companyInvestment managementDodd frank wall street reformConsumer protection actRisk analysisShareholder servicesChief investment officer

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