By failing to adequately inform the investing public, during the period April 24 through May 21, 2020, of the specific constraints put on the fund ...
Tomorrow's Federal Register will contain a new OSHA rule directed at larger employers (with more than 100 staffers) that would encourage COVID vaccines or testing
The withdrawals of, and modifications to, the statements identified in Appendix A will be effective as of November 4, 2022 (the Marketing Rule compliance date)
None of the ACH transfers from Welsh’s clients’ and customers’ accounts to the Welsh Family Accounts were authorized by the relevant account owners
EXAMS contacted LCM’s Chief Compliance Officer by email on October 14, 2020 to alert her that the firm had failed to file Form CRS. LCM, ...
Below are examples of deficiencies or weaknesses observed by the staff related to funds’ and their advisers’ compliance programs for portfolio management and other business ...
The firm failed to file and deliver Form CRS by these deadlines, not becoming compliant until in or after late March 2021
ERISA fiduciaries can make investment decisions that reflect climate change and other ESG considerations, including climate-related financial risk, and choose economically targeted investments selected, in ...
"Today, the staff of the Securities and Exchange Commission published a report on the “meme stock” events of winter 2021, and how these events affected ...
Under federal law, an investment adviser is a fiduciary.104 With respect to securities lending, advisers have a fiduciary duty to consider the tradeoffs between continuing ...