In The News

In Compliance Reporter, Investment Management Partner Brian McCabe Discusses the SEC’s Focus on Poorly Performing Funds

Practices: Investment Management, Investment Management Compliance, Mutual Funds, ETFs & Closed-End Funds

As part of their newest round of fund-focused inspections, SEC examiners are taking a close look at poorly performing funds. A Nov. 27 article published by Compliance Reporter titled “Piling on: SEC targets compliance at underperforming funds” includes insights from investment management partner Brian McCabe. “What the SEC is probably driving at is: Are the kinds of things you're investing in and may have lost money on the things that you said you would be investing in, and were the risks that have now come home been appropriately disclosed,” Mr. McCabe outlines in the article.

Cookie Settings