The Enforcement Division of the U.S. Securities and Exchange Commission (SEC) continued its “Rule 105 initiative” this year, culminating in settlements with six firms that total more than $2.5 million in monetary sanctions, in addition to other sanctions. These cases highlight important components of the SEC’s approach to Rule 105 enforcement. Fund managers should review their policies with regard to Rule 105, stress test the actual procedures that support those policies, and redouble their surveillance and education efforts to ensure compliance.
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Highlights of Issue 108:
BlueCrest - Equity strategy excels in 2015
Volatility & Uncertainty to Define 2016 - Major challenges facing market participants
On Origins of Alpha - Is the stock market a quasi Ponzi scheme?
InfraHedge - The largest MAP-infrastructure provider