Disclosure

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

The adviser failed to both adopt and implement P&Ps regarding investor communications that could have prevented the violations

An internal review found that some investors received material holdings and exposures information about the fund without compliance’s review and approval

The issues stemmed from failing to disclose conflicts in the firm's variable annuity and cash sweep money market fund selection practices, and making recommendations that ...

Key Investment Services and its reps did not disclose in writing that the reps were acting as associated persons when they made the transfer recommendations, ...