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 ...
HG Vora's required report on its control purpose and current ownership position was filed a week late and on the same day acquisition bid made
Eye what your peers felt was our most popular content in February
Despite the SEC having a client's email to his rep asking why he hadn't long ago been placed in a cheaper share class, the Commission ...
Traders and a portfolio manager recognized the squeeze they found themselves in and they discussed a possible solution but didn't take it
Be aware of a type of affinity scam called “pig butchering,” which is “derived from the process of fattening hogs for slaughter.” It's being increasingly ...
The Commission has expanded the current prohibited holdings restrictions to ban employees from investing in financial industry sector funds
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 ...
You may be tempted to note February as the month of FinCEN when it comes to new regulations potentially affecting your firm. The latest proposal ...
The influencer's and the index provider's fee structure and the lack of disclosure surrounding the engagement proved problematic