This content is from: Corner Office Morningstar Used Credit Analysts to Lure Business, Says SEC The ratings agency will pay a $3.5 million fine to settle conflicts of interest charges. By Alicia McElhaney May 15, 2020
This content is from: Culture SEC Charges PwC With Violating Independence Rules This is the second time the U.S. Securities and Exchange Commission has charged an auditing firm in recent months. By Alicia McElhaney September 23, 2019
This content is from: Culture The SEC Brought More Charges This Year. Here’s Who They Targeted. More regulatory enforcements led to a 10 percent increase in total fines paid to the SEC. By Alicia McElhaney November 06, 2019
This content is from: Culture ‘Way Better Than the Medallion Fund LP’ — and Other Things the SEC Won’t Let You Name Your Fund The regulator is looking to update a rule prohibiting firms from giving their funds “misleading” names. By Alicia McElhaney March 03, 2020
This content is from: Culture Ex-Goldman Banker Barred by SEC Over Role in 1MDB Scandal Tim Leissner consented to the SEC’s finding that he violated federal securities laws, according to an announcement from the commission. By Alicia McElhaney December 16, 2019
This content is from: Culture REIT Settles With SEC Over Fee Inflation Charges The Securities and Exchange Commission claims that American Realty Capital “wrongfully obtained” millions of dollars in additional fees. By Alicia McElhaney July 16, 2019
Sponsored After the Great Lockdown: COVID-19’s lasting impact on business models Sponsored by PGIM May 20, 2020
Sponsored Why Active Management is Essential in Sustainable Investing Hamish Chamberlayne, Head of Global Sustainable Equity and Portfolio Manager, Janus Henderson, discusses some of the trends guiding his investment decisions and key themes and megatrends his team is watching. Sponsored by Janus Henderson Investors May 18, 2020
