'We think the dissenting commissioners have it right that the proxy rule doesn’t seem to require what the order implies'
These proceedings arise out of the widespread and longstanding failures of employees throughout the firms, including at senior levels, to adhere to certain of these ...
A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads
The checklist also could be used as a foundation for reviewing advertising pieces and completed copies could make for potential documentation to show future SEC ...
A CCO at an ESG firm has an obligation to become educated on the topic
The onus falls upon the adviser to confirm that its auditor is both registered and subject to PCAOB inspection
Garrison failed to timely deliver the audited financials to Ethika’s investors
The settlement focuses on Aventura’s disclosures in its Form ADV, Form CRS and investment management agreements—offering lessons for other advisers
The investor had the misfortune to be talking on the phone when she was overheard by investment adviser Lee Weiss. He listened to her lament ...
The Commission's program has awarded $1.3 billion to nearly 300 whistleblowers over the last dozen years