by David Schwartz J.D. CPA | Nov 13, 2014 | All, Formal Regulatory Remedies
On November 6, 2014, the Securities and Exchange Commission granted Eaton Vance’s request to launch an “exchange traded managed fund” (ETMF), a new kind of exchange traded fund. Only a week before, the SEC provisionally denied similar requests for ETMFs...
by David Schwartz J.D. CPA | Jun 6, 2014 | All, Change Overview and Rationale, Formal Regulatory Remedies
In a May 29, 2014 white paper, Blackrock responded strongly to the Financial Stability Oversight Council’s (FSOC) 2014 Annual Report which raised concerns about asset managers and securities lending. In particular, Blackrock’s paper takes issue with FSOC’s assertion...
