Tag: Sub-Advisor

Compliance

Duties of Advisor to Supervise Sub-advisor

Duties of Advisor to Supervise Sub-Advisor Addressed SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC speech reflects on obligations for conduct of sub-advisor By John M. Baker, Esq. Dec. 9 2001 – Stephen Cutler, Director of the SEC’s Division of Enforcement, on Thursday spoke at the Investment Company Institute’s Securities Law Developments Conference on potential pitfalls in […]