Michael Diver

Gweedore

Featured in: Favicon

jdsupra.com Favicon

natlawreview.com Favicon

mondaq.com

Articles

Financial Markets And Funds Quick Take | Issue 30

Sep 13, 2024 | mondaq.com | Adam Bolter |Michael Diver |Susan Light |Wayne Aaron

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds. To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.
Financial Markets and Funds Quick Take | Issue 30 | JD Supra

Sep 12, 2024 | jdsupra.com | Adam Bolter |Michael Diver |Susan Light

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds. To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.
Financial Markets and Funds Quick Take | Issue 30

Sep 12, 2024 | katten.com | Adam Bolter |Michael Diver |Susan Light |Wayne Aaron

Katten's Financial Markets and Funds Quick Take is a monthly newsletter highlighting key noteworthy developments potentially affecting financial markets and funds. To read more issues of Katten's Financial Markets and Funds Quick Take, please click here.
SEC Scrutiny into Cash Sweep Programs: What Investment Advisers Need to Know

Aug 26, 2024 | natlawreview.com | Michael Diver

In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash sweep programs, which are designed to transfer idle cash from investment advisory accounts into interest-earning sweep vehicles to generate additional interest income for the investors.
SEC Scrutiny into Cash Sweep Programs: What Investment Advisers Need to Know | JD Supra

Aug 19, 2024 | jdsupra.com | Wayne Aaron |Michael Diver |David Goldberg

In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash sweep programs, which are designed to transfer idle cash from investment advisory accounts into interest-earning sweep vehicles to generate additional interest income for the investors.
SEC Scrutiny Into Cash Sweep Programs: What Investment Advisers Need To Know

Aug 19, 2024 | mondaq.com | Michael Diver |Susan Light |Wayne Aaron |Lindsey Smith

In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash sweep programs, which are designed to transfer idle cash from investment advisory accounts into interest-earning sweep vehicles to generate additional interest income for the investors.
FINRA Settles First Significant CAT Reporting Enforcement Action | JD Supra

Sep 8, 2023 | jdsupra.com | James Brady |Michael Diver |Danette Edwards

On August 16, Instinet, LLC (Instinet or the Firm) agreed to pay a $3.8 million fine to settle an enforcement action with the Financial Industry Regulatory Authority (FINRA) regarding its alleged failure to comply with certain of its Consolidated Audit Trail (CAT) reporting obligations.1 This case is FINRA's first significant enforcement action in the CAT space and should prompt member firms to revisit the efficacy of their CAT compliance programs.
FINRA Settles First Significant CAT Reporting Enforcement Action

Sep 8, 2023 | mondaq.com | James Brady |Michael Diver |Danette Edwards |Christian Kemnitz

On August 16, Instinet, LLC (Instinet or the Firm) agreed to pay a $3.8 million fine to settle an enforcement action with the Financial Industry Regulatory Authority (FINRA) regarding its alleged failure to comply with certain of its Consolidated Audit Trail (CAT) reporting obligations.1 This case is FINRA's first significant enforcement action in the CAT space and should prompt member firms to revisit the efficacy of their CAT compliance programs.