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Disclosures
The last two years have seen the SEC adopt rules providing investors with disclosures on emerging risks like climate control, cybersecurity and SPACs
‘Tis the season for Form ADV updates for most advisers, so it’s worth heeding a compliance lesson tied to faulty disclosures
The new rule 'will allow investment advisers and funds to have access to climate information from companies that will be necessary to inform related ESG ...
The amendments expand the scope of entities subject to Exchange Act rule 605, and modify the content of order information reported
"Given our clear authority, rolling back the proposal is a missed opportunity. It remains my great hope that a future Commission will rise to the ...
Both of these agreements created conflicts of interest, because they created an incentive for 3D/L to use funds managed by the ETF Manager in 3D/L’s ...
'We are here to protect investors, and if they care, then we care,' Grewal says in Ohio State Law Journal speech
This sounds counter-intuitive because the unvarnished truth could steer clients away from the product, but “whatever else you say, tell them all of the bad ...
'We want this to be something where the industry can... come up with solutions...'
The Influencer’s planned involvement and the details of the anticipated licensing arrangement were not disclosed to the independent trustees of the VanEck ETF Trust for ...