Disclosure

Examiners, enforcers focused on conflicts, disclosures, experts warn

Harmonized markets demand harmonized rules, Chairman tells IAA

The CCO also can lay down the foundation by creating P&Ps that correspond to how fund documents address expense allocation

'Only a few cases' where audits made investments more likely, UConn academic says

The manager of an Oklahoma hedge fund made secret, risky side bets and wiped out his fund’s investors, the SEC claims in a new lawsuit. ...

Private fund adviser charged with failing to disclose conflicts and making material misstatements and omissions tied to SPACs

The settlement focuses on Aventura’s disclosures in its Form ADV, Form CRS and investment management agreements—offering lessons for other advisers

After 2019, Aventura Capital continued to revise its disclosures with respect to its conflict of interest concerning 12b-1 fees, but Aventura Capital’s revised disclosures did ...

A peer shares the adviser's disclosure related to the use of interactive analysis tools under the SEC's new IA ad rule

IA acted contrary to its client disclosures and internal policies concerning reviewing accounts of clients in wrap program