Timelier reporting would also allow other market participants, such as analysts and investment advisers, to better value the securities and make better recommendations
It is a long-standing principle that an investment adviser must “disclose any potential conflicts of interest accurately and completely.”
CIRA owes its advisory clients an affirmative duty of utmost good faith, is obligated to provide full and fair disclosure of all material facts, has ...
Respondent’s bonus compensation was directly tied to success in raising funds for APEF VI, and Abraaj paid him a nearly $2 million bonus in January ...
"I compromised the integrity of my judgment, and for that I am disappointed with myself and very sorry. I do accept full responsibility for my ...
The Advisory Firm had an incentive to recommend the selection of the Capital Reserves and Daily Money share classes for clients, which generally provided clients ...
The sooner the parties have affirmed the trade information for their transaction, the lower the likelihood of a settlement fail because the parties will have ...
The Commission shall not make a related-action award to a claimant (or any payment on a related-action award if the Commission has already made an ...
Velissaris knew or recklessly disregarded that he was, in fact, manipulating the valuations of the Infinity Q Funds’ positions in the Pricing Service and was ...
"We urge firms that continue to be delinquent in fulfilling their Form CRS obligations to come into compliance with the law and to self-report to ...