SEC enforcement investment manager News

The U.S. Supreme Court on Monday agreed to hear an appeal by a New York investment banker banned from the industry by the Securities and Exchange Commission in a case that could limit the scope of those who can be …

Zurich North America has revised its liability policy for investment advisers, mutual fund and hedge fund managers. Zurich says it has made the changes in response to a rise in regulatory risk fueled by new investigative approaches used by the …