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Disclosures
A simple bank error and a malicious employee put a Silicon Valley venture capitalist at the center of what has now become a multi-count criminal ...
Graham Bordelon caused its clients to receive credits on 12b-1 fees back to their accounts and began a process of converting its clients’ mutual fund ...
Two specific disclosures about the use of automated voting are encouraged in the new guidance
"Asset managers responsible for trillions in investments, issuers, lenders, credit rating agencies, analysts, index providers, stock exchanges—nearly all types of market participants—use ESG as a ...
The updated risk disclosure statement replaces the prior statement
SCF failed to adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and the rules thereunder in connection ...
The shareholder report would start with a fund name, ticker symbol, the words “Annual Shareholder Report,” and a legend
An example of the SEC's proposed 'tailored' shareholder report for mutual funds
A Miami private fund adviser has been censured and will pay $350,000 in fines to settle SEC claims that it overcharged the real estate funds ...
The proposal would move “fund disclosures to the 21st century” by urging funds to use interactive and “user-friendly design features” to help investors “customize” information ...
WBI and Millington, in their roles as investment advisers, disclosed to clients that Millington, in its role as a broker-dealer, received payments for order flow ...
I am concerned about the proposal’s treatment of acquired fund fees and expenses (“AFFE”). Specifically, the proposal would allow funds to exclude AFFE from their ...
The verbal explosion that has occurred in our releases over the last twenty years means that only securities attorneys and compliance professionals, who are paid ...
Fund shareholders may be paying these fees regardless of the funds in which they invest. Perhaps these shareholders would not mind paying this extra cost ...
Today’s proposal would establish a new disclosure framework for mutual funds and ETFs that modernizes the shareholder reports provided to existing investors and the prospectuses ...
The proposal is designed to alleviate concerns that fund retail shareholders currently may receive disclosure materials that are not well-suited to their needs, which may ...
Three VALIC employees worked to steer union members to the advisory firm while being “deceptively identified” as union employees
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
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