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Conflicts of Interest

The SEC was clear in detailing what was lacking from a disclosure standpoint
A private fund isn’t a personal fund, and the SEC has just driven the point home by barring a Maryland investment adviser for helping himself ...
A peer shares the questions the compliance staff asks employees to discover potential new conflicts
The SEC alleges material misstatements were made to hedge fund investors
Lapse in forming an Investor Advisory Committee an issue
HSBC Securities provided false and misleading disclosures to clients about its IARs’ conflicts because it stated that IARs did not receive compensation based on advisory ...
Failed to adequately disclose how their clients' investments were tied to the Aequitas enterprise
Documents supporting RAUM figure found to be misleading
The revised ADV Brochure made no reference to the agreements or payments and did not explain the resulting conflicts of interest
Activist investor Jeffrey Eberwein has gotten himself back into hot water with the SEC, this time for failing to disclose conflicts of interests as he ...
The firm's CCO learned of the RAUM figure in the Form ADV after it was filed, and made several requests to identify the basis for ...
A New York Supreme Court justice has ordered the assets of a private fund and related broker-dealer frozen, after evidence revealed “a shocking level of ...
Laws and others fraudulently induced federal employees to rollover significant funds from their federal retirement accounts into annuities
Disclosing conflicts lies at the heart of Reg BI and Form CRS
SEC claims adviser failed at its fiduciary duty; advisers fires back
A new release from the SEC’s Division of Investment Management lays out the staff’s “views” on revenue sharing disclosure while admitting it’s not altering any ...
The SEC is pursuing a pair of Wisconsin executives and three of their companies, accusing them of bilking dozens of investors out of nearly $53 ...
Reaction to new SEC guidance on proxy voting
When considering funds for the Master List and MAAP, BMO Asset Mgmt evaluated the lower-cost institutional share class for both Proprietary Mutual Funds and non-proprietary ...
Respondents failed to disclose that Rourke and Sherman had been contractually retained by Ecoark for three years beginning in May 2013 to provide consulting services ...
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