Kelley Howes

ID: 1b837204-2619-30fb-68c4

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Unclaimed

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Organization: Morrison & Foerster LLP

SEC Staff Allows Fund Boards to Rely on CCO Reports

IM Insights · October 16, 2018

SEC Sanctions Adviser and Portfolio Manager for Improper Cross Trades and Failure to Seek Best Execution

IM Insights · September 28, 2018

Broker-Dealer Settles Record Keeping Charges for $1.25 Million

IM Insights · July 18, 2018

OCIE Risk Alert Identifies Common Best Execution Deficiencies

IM Insights · July 12, 2018

New Exemptive Rule Could Lower Barriers to Entry for New ETFs

IM Insights · June 29, 2018