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Disclosures

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Asset managers who offer “green” or “sustainable” investments ought to disclose how they’re using those terms, Republican SEC Commissioner Elad Roisman says. “How are they ...
Elad Roisman
Investment advisers to funds that have economic exposure to companies based in emerging markets also have responsibilities to inform their investors
An investment adviser’s fiduciary duty includes, among other things, an obligation to seek best execution for client transactions
The opportunity presents to see how they answered the delicate question of how their financial professionals make money
Elad Roisman
"I do not discount or ignore these calls for additional ESG information, but they raise questions in my mind about what the asset managers are ...
A peer shares the firm's statement that solicitors must sign
New order updates filing threshold for first time in nearly 30 years
In a Wrap Program, we generally receive from .125% to 1.00% in annual compensation, depending on the program sponsor, type of account
These revisions should ease compliance burdens and clarify the application of our rules for smaller reporting companies and issuers relying on Regulation A by focusing ...
My views and support for effective disclosure on “decision useful” information, including the modernization of financial disclosures ... are not new to you"
Hester Peirce
"Let’s keep using our tried and true disclosure framework, which is rooted in materiality and is flexible enough to accommodate a wide range of issuers, ...
The SEC was clear in detailing what was lacking from a disclosure standpoint
Adherence with the government’s rules around the PPP loans will fall to advisory compliance staff
For nearly three decades, Marko Dimitrijevic was an impresario in emerging market funds. His firm, Everest Capital, attracted early investments from George Soros and Dimitrijevic’s ...
Hester Peirce
I also look forward to the hearing your observations on shareholder engagement at the virtual shareholder meetings that have been held since the pandemic began
Groups have petitioned the SEC to end its 30-year "effort to ... outlaw Rule 12b-1 fees"
Advisers receiving PPP loans should disclosure this to their clients
The initiative returned nearly $140 million to harmed investors
Advisers, including registered and private fund advisers, should consider the risks of emerging market closures in their disclosures
Firms encouraged to consider disclosure revisions based on COVID-19 events
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