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… impermissible conflict of interest between brokers and the fiduciary duties owed to customers. I would like to …
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… it is not a voting restriction. I would turn it around to a duty of fair representation, which the SEC is quite familiar … Head of Fixed Income Trading, Blackrock (``as the [sole] fiduciary on this panel * * * we would be in support of a … consider any additional requirements related to (i) the fiduciary duties that a DCO, DCM, or SEF Board of Directors …
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… advisers and brokers in regulated TradFi markets have fiduciary (or best interest) duties to their clients. They … can benefit from using these professionals, someone with a duty to them, not the crypto company. Lesson 4: Good … to improve corporate governance, while also fulfilling fiduciary duties that venture capital firms and some …
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… if the individual has a pre-existing legal or contractual duty to report violations of the type at issue to the … information on past violations/integrity; breach of fiduciary duty/responsibility; churning/excessive trading; … information on past violations/integrity; breach of fiduciary duty/responsibility; churning/excessive trading; …
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… sets forth certain duties for SDs and MSPs, including the duty to: (1) Monitor trading to prevent violations of … Commission clarify that the rules do not impose any new (a) fiduciary obligations or duties (i.e., duties beyond those … Rule 2-9), and MFA is concerned that Sec. 23.602 may impose fiduciary and supervisory obligations on registrants similar …
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… on their [[Page 40882]] Forms ADV, and are also subject to fiduciary duties to their clients.\54\ … I believe it is fully within our statutory duty to provide, at the very least, a foundational level of …
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… be made available to NFA to enable NFA to discharge its duty to monitor and examine CFTC registrants during an … of the federal securities laws and the fund's or adviser's fiduciary duties (``selective disclosure'').\142\ … of the federal securities laws and the fund's or adviser's fiduciary duties (``selective disclosure'').\142\ …
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… 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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… whistleblower was under a pre-existing legal or contractual duty to report the violations of the CEA to the Commission … information on past violations/integrity; breach of fiduciary duty/responsibility; churning/excessive trading; … information on past violations/integrity; breach of fiduciary duty/responsibility; churning/excessive trading; …
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… to a regulated fund because the investment adviser is a fiduciary to the fund that is legally obligated to manage … risk, which may be inconsistent with the adviser's duty to act in the best interest of its clients.\74\ Another … which may be inconsistent with the investment adviser's fiduciary duty to act in the best interest of its client). …
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