Conflicts of Interest

"A conflicted transaction entails directly shorting the ABS, entering into a credit default swap that references the underlying assets, or something economically equivalent to either ...

"Our pattern of proposing unrealistic rules with numerous questions, only to substantively revise the rule text after the comment period closes inhibits our ability to ...

"If market participants are seeking to comply with the rule and find that there are circumstances that call for an exemption, guidance, or other relief, ...

"The final rule we adopt today will contribute to the healthy functioning of ABS markets by reducing the ability of securitization participants to exploit their ...

This is an SEC final rule that would prohibit conflicts of interest in the sale of asset-backed securities

A divided Commission voted Oct. 2 to amend portfolio thresholds and to make other proposed changes that would require CPOs/CTAs to disclose risks, conflicts, their ...

Because Forepont did not provide advance disclosure to the limited partners of the Cayman Fund of these material facts concerning the transfers and the associated ...

Apexium did not document why investing with the Affiliated Manager was in the best interest of any particular client or group of clients at the ...

AssetMark failed to provide full and fair disclosure of conflicts of interest arising from ATC’s cash sweep program, which transferred, or “swept,” clients’ uninvested cash ...

Neither the adviser or its principal mentioned that the money invested by clients in an affiliated company would be used to fund payroll or to ...