Displaying results 21 - 30 of 54
Testimony before the Senate Committee on Agriculture
… by the CFTC or by the SEC, should be subject to uniform fiduciary duty standards. Commodity trading advisors, commodity pool …
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2013-27339
… statutes, regulations and common law (including, e.g., fiduciary duties under common law),\30\ and rules, … of the plan, because such employees have a legal duty to act solely in the interests of the plan.\71\ … are, in general, a problem for plan managers, which have a fiduciary duty to inquire as to an owned entities' …
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2018-07365
… knowledge of those instances in which brokers violate their fiduciary duty to customers by taking advantage of customer orders and …
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2013-12365
… we have to understand how corporate treasurers have a fiduciary duty to optimize numerous factors--not solely the … we have to understand how corporate treasurers have a fiduciary duty to optimize numerous factors--not solely the …
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Remarks of Commissioner Sharon Y. Bowen before the Managed Funds Association Forum 2016
… Department of Labor 15 are in the process of implementing fiduciary duties for entities they regulate, the CFTC should … 15 Definition of the Term “Fiduciary”; Conflict of Interest Rule – Retirement …
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2023-16572
… discretion,  and to the extent applicable, has independent fiduciary duties to other  investors of the fund; and (iv) … and that, to  the extent applicable, has independent fiduciary duties to other  investors in the fund, seek to … exercising its investment discretion, and has independent fiduciary  duties to other investors in the fund (if any), …
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e7-2528
… Pursuant to its duty under the CEA to consider the costs and benefits of its … even if their memberships overlap. DCM directors have a fiduciary duty to stockholders, to be sure, but stockholders … in their decision making. While exchange boards do have fiduciary obligations to their owners, they are also …
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Statement of Commissioner Dawn D. Stump in Support of Final Uncleared Margin Rules Based on Recommendations of Global Markets Advisory Committee
… risk, which may be inconsistent with investment adviser’s fiduciary duty to act in the best interest of its clients). [15] See …
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2016-29582
… entity would gain when carrying out due diligence under a fiduciary duty, so long as such knowledge is not directly used to … are, in general, a problem for plan managers, which have a fiduciary duty to inquire as to an owned entities' …
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2013-27339
… statutes, regulations and common law (including, e.g., fiduciary duties under common law),\30\ and rules, … of the plan, because such employees have a legal duty to act solely in the interests of the plan.\71\ … are, in general, a problem for plan managers, which have a fiduciary duty to inquire as to an owned entities' …
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