The CMFI Community

Latest Blog Entries

  • 24 August, 2018 - Niels Holch

    In its proposed Regulation Best Interest, the SEC is to be commended for its overall goal of improving the standards of conduct for broker-dealers from the existing suitability standard.  However, the Commission's proposal--outlined in more than 1,000 pages of regulatory verbiage--is only...

  • 13 March, 2018 - Niels Holch

     

     

    Niels Holch is executive director of the Coalition of Mutual Fund Investors.

     

    A January compliance call sponsored by the Securities and Exchange Commission’s Fort Worth, Texas, regional office warned participants that a 2017 review of fund and...

  • 29 November, 2017 - Niels Holch

    Niels Holch is executive director of the Coalition of Mutual Fund Investors.

     

    Electronic communications are rapidly replacing paper documents and distribution arrangements that rely on the U.S. mail. The mutual fund industry is no different.

     

    Fund shops are...