Disclosures

The firm's revised P&Ps now require reps to request oral consent to electronic delivery from customers using a consent and disclosure script. If a customer ...

'The clock is ticking'

By slipping 2019 fiduciary guidance in as dicta, Commission may signal a crackdown

New rules softer than proposal, still impose rigid disclosures on exempt advisers

The adviser and parent lost a trial for breach of contract claims brought against them concerning certain other ETFs that Adviser managed .... The trial ...

Changes haven't been linear, but the direction has

The SEC charged that Monroe Capital invested assets of private funds it advised in certain transactions that helped finance SPAC business combinations without timely disclosure ...

Monroe Capital personnel became involved in multiple SPACs for which certain of Monroe Capital’s supervised persons co-owned the sponsoring entities, but Monroe Capital lacked policies ...

Robert Allen Gravette failed to adequately disclose the compensation arrangements he negotiated with the fund managers of four private placement offerings he recommended to his ...

One remedy may come from the old formula: Tell it first, tell it fast, tell it all