Disclosure

'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

Gensler ally worries for 'anti-woke Chairman'

"KAI failed to (i) review these advisory accounts for inactivity as required under its internal policies and external disclosures, to determine whether wrap accounts remained ...

Funds encouraged to consider their TIPS-related calculation methodology and adequacy of disclosures