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IA Rules & Regulatory Actions

"As recent events have demonstrated once again, market and operational risks can emerge suddenly. We should be working to increase our ability to react, including bringing ...
At no time during the relationship between the Teachers Union Entity and VALIC, were the K-12 teachers told that VALIC was making payments to the ...
In March of 2017, VFA disclosed for the first time the receipt of Revenue Sharing, but still did not fully and fairly disclose that conflict ...
The Committee’s initial reviews have identified examples that may lack certain disclosures or could be clearer or otherwise improved
Republican SEC Commissioners on July 22 approved new guidance that warns investment advisers to consider targeted companies’ responses to proxy advisor analyses before casting their ...
Republican SEC Commissioners on July 22 approved the first-of-their-kind rules for proxy advisors. Among other things, it defines proxy advice as “solicitation” under Sec. 14(a) ...
Cano also participated in the preparation of forged documentation purportedly memorializing the new loan, by altering documentation memorializing one of the earlier legitimate loans to ...
Applicants request an exemption from Section 205 and Rule 205-1 under the Advisers Act to the extent necessary to permit the Proposed Fulcrum Fee to ...
UBS has taken a number of remedial steps, including reviewing and improving its retail order period policies and procedures, introducing retail order period training for ...
Beginning in or about 2007,1 Hu and others at IIG engaged in a practice of hiding losses in the TOF portfolio by overvaluing troubled loans ...
The complaint also alleges that investors who were able to redeem their interests received more money than they were entitled to because their redemptions were ...
First Western did not require training for its IARs and supervisors about Rule 144A securities and did not adopt any other process to sufficiently educate ...
Given the idiosyncratic nature of the health and economic effects and consequences of COVID-19, we believe that analogies to the role of rating agencies in ...
George L. Taylor, is the CEO, founder, Chief Compliance Officer, and majority owner of Temenos Advisory, Inc. (“Temenos”), an investment adviser registered with the Commission
We request that the SEC require companies to list specific locations—at least street addresses, and preferably longitude and latitude—of all facilities whose loss or impairment ...
Rule targets business development companies and other closed-end investment companies
An investment adviser’s fiduciary duty includes, among other things, an obligation to seek best execution for client transactions
Alderson is no longer associated with Touchstone Advisory. Alderson, 42 years old, is a resident of the United Kingdom
"we are adopting an expedited review process for routine applications, an informal internal procedure for applications that would not qualify for the expedited process, and ...
The Department of Labor is seeking comment on proposed rules that would prevent retirement fund managers to invest in funds or other ethical, sustainable and ...
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