United States: The Last Leg: SEC Extends Trading Relief to Share Class ETFs
By: Thoreau A. Bartmann, Jessica D. Cohn, and Kevin R. Gustafson
With this fourth SEC approval, share class ETFs are now ready to go live.
Read MoreUnited States: Did you Predict This? Why Prediction Markets may be Your Next Compliance Headache.
By: Thoreau A. Bartmann, Lance C. Dial, Todd S. Fishman, Pablo J. Man, and Sarah V. Riddell
Prediction markets and event contracts have gone mainstream. Prediction market platforms offer contracts on virtually any event you can imagine, and increasingly advisers and their personnel, including portfolio managers, are signing up. If your compliance program hasn’t caught up to the issues that prediction markets raise, you may have a problem you don’t know about yet.
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