Teaser Alert! We are ending this summer with a big reveal!

Aug 18, 2018 7:00:30 AM

Dear IM Cincy Readers, I realize that it has been a few weeks (okay, nearly a month) since I last posted to this blog, and I’m sorry for the delay. I’ve been distracted lately, and rightly so. It wasn’t the heat of summer or the lure of a fun vacation that distracted me, although those did play a part. It was something much bigger. You see, when I started IM Cincy a few months ago, I had a simple ...

IM Director's Recent Remarks on Standards of Conduct & Liquidity Risk Management

May 25, 2018 8:30:21 AM

IM Director's Recent Remarks on Standards of Conduct & Liquidity Risk Management by Peter Michael Allen   Recently, Dalia Blass, Director of the SEC’s Division of Investment Management (IM) commented about the standards of conduct for investment professionals and liquidity risk management for open-end funds, including mutual funds and exchange-traded funds (ETFs). Given that the SEC recently submi...

Useful Links Now Included on IM Cincy

May 7, 2018 4:30:49 AM

Dear Subscribers, Here at IM Cincy, we have started compiling a list of useful links that may interest you. You can find the links on our website here. Currently, there are a few lists related to the SEC, the DOJ, and others. Over time, we will continue to build our list of useful links. In the meantime, if there are any links that you would like to recommend, please contact IM Cincy at imcincinna...