Asset Management Law360 provides breaking legal news and analysis on the asset management industry. Coverage includes litigation, policy developments, and corporate deals involving investment firms, mutual funds, hedge funds, bond funds, pension funds, and real estate investment trusts.
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Latest News in Asset Management
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September 22, 2026
The U.S. Securities and Exchange Commission on Tuesday ordered OTC Link LLC to pay $575,000 over allegations that the New York-based broker-dealer did not establish and enforce policies to ensure the security of the technology underpinning one of its alternative trading systems, despite several citations from examiners.
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September 22, 2026
State regulators, labor unions and at least one member of Congress are among those urging the U.S. Securities and Exchange Commission to rethink a proposal that would allow issuers and market intermediaries to default to electronic delivery of investor documents, while Wall Street groups and environmental advocates praised the measure.
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September 22, 2026
American Portfolios Financial Services Inc., which is now part of Osaic Wealth Inc., will pay more than $1.6 million in combined restitution and fines to settle claims that its representatives' recommendations caused customers to overpay for fees on certain securities.
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September 22, 2026
Healthcare-focused artificial intelligence company Heidi on Tuesday revealed that it has reached a $900 million valuation after raising $100 million in its latest funding round.
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September 22, 2026
A business advocacy group has sued the Trump administration, seeking to force it to distribute over $289 million in congressionally appropriated funds meant to support community development financial institutions before the funds lapse at the end of the month.
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