Disclosure

International Assets Advisers failed to provide full and fair disclosures regarding compensation and financial incentives that its affiliated B-D received from a clearing broker

Colony failed to provide the required disclosures to limited partners in advance and to obtain the required approvals from the LPACs or majority-in-interest of limited ...

Peirce and Uyeda dissent, criticize fellow commissioners for not going back to public comment drawing board

Association expresses concerns that proposed rules could have a chilling effect on broader short selling activity across the industry

FINRA alerts B-Ds to Form BR functionality enhancements for initial Form BR submissions and updated residential supervisory location FAQs

Having P&Ps in place to address OBA requirements falls short: the policies must be enforced

SEC cited misleading disclosures tied to work with activist short publishers who issued articles presenting bearish views of target securities

The "threat actor was able to utilize deceptive hacking techniques to install encryption software on certain" of the adviser's "computers (mostly virtual machines) and exfiltrated ...

The PPM for the fund described a short position investment strategy but omitted that the strategy involved working with activist short publishers and trading in ...

'There’s a false assumption that the opacity of the market indicates risk,' AIC's Goshorn Jurata tells packed Private Funds CFO forum