Disclosure

The proposal would introduce several important new features to enhance voting disclosure, including requirements for funds and managers to standardize the description of matters voted ...

SEC Chairman Gary Gensler has turned to a University of Colorado law professor to help run the Division of Corporation Finance—and he may have dropped ...

Fraud spanned globe, feds claim

Limitation agreed to after firm hit with charging advisory fees to client accounts that were not provided advisory services

Regal’s compliance manual designated Yarch with implementing Regal’s compliance program as well as monitoring and updating Regal’s Form ADV disclosures. In November 2019, Regal adopted ...

JW Korth did not disclose before the completion of each transaction the capacity in which it was acting

'Clock is ticking,' Chairman warns

'A lot of fees and potential conflicts inherent,' Chairman says

Case another example in importance of delegating compliance authority

Chairman talks market structure, gamification, disclosures, China, ESG, fee disclosures, cybersecurity, exams.