Disclosure

Click here to download an Excel file containing sample disclosures for the SEC‘s new IA advertising rule. This comes courtesy of Craig Watanabe, director of ...

Settlement shows SEC won't wait for new rules to crack down

Compliance staff recognized that UBS’s training around the product came up short in satisfying the firm’s fiduciary obligations

Commission crackdown on private fund fees continues

"The Commission seeks to promote efficiency, transparency, and operational resiliency by modernizing the manner in which information is submitted to us"

Trade association worries for 'far-reaching, and potentially adverse, ramifications'

We are proposing to require ESG-related disclosures from registered investment advisers that consider ESG factors as part of their advisory businesses

Investors may reasonably expect funds with these names to invest in companies with policies, practices, or characteristics that are consistent with these standards, particularly when ...

The proposed regulations will place extra burdens on fund managers to comply. But there is cause for optimism, writes Gen II’s Robert Caporale.

'Investors were unable to make a fully informed decision,' SEC claims as it hints at 'ongoing' developments