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Disclosures

Crowdfunder RealCrowd.com is hoping to distance itself from the now-indicted private equity adviser it carried on its platform.
During the Relevant Cash Sweep Period, even though a money market fund that did not result in revenue sharing payments was always available to it, ...
The settlement touches on violations of the adviser's fiduciary duty, undisclosed 12b-1 fees, errant fee calculations, suitability, hidden revenue sharing, conflicts, as well as sweep ...
Other examples that examiners will look for include C-level support for a robust compliance program; a lack of double standard treatment for C-level staff and ...
Pension plan fiduciaries don’t have to cast every one of their clients’ proxy votes but whatever decision they make must be made “prudently and solely ...
We encourage funds to provide tailored disclosures of risks in the emerging markets in which they invest, and related risks, so that investors are able ...
Enforcement action tied to BlueCrest's transfer of top traders from its flagship hedge fund to a proprietary hedge fund
Hester Peirce
"The disclosures to date have varied in the extent to which they discuss the effect of COVID on their operations, financial condition, and expectations of ...
The parties that are likely to be affected by the amendments include investors and other market participants that use the information in these filings (such ...
"There’s no time to waste in setting to ourselves to this task, and we look forward to rolling up our sleeves to establish requirements for ...
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