• Back To S&W Publications Listing
• News & Views
• S&W Publications
• Events & Speaking Engagements
• Media Contacts
• Speakers Bureau
• Sign-up for Publications
• Podcasts

• Corporate
• Investment Management

SEC Issues Proposed Guidance Regarding Fund Boards' Duties and Responsibilities with Respect to Portfolio Trading Practices

This Client Advisory discusses proposed guidance from the SEC that is intended to assist fund boards in fulfilling their oversight responsibilities with respect to investment advisers' portfolio trading practices, including the use of soft dollars to obtain research.

View Client Advisory (PDF)