Disclosure

A call not to eliminate rule 30e-3 and the need to allow for e-delivery is heard

The settlement touches on violations of the adviser's fiduciary duty, undisclosed 12b-1 fees, errant fee calculations, suitability, hidden revenue sharing, conflicts, as well as sweep ...

Pension plan fiduciaries don’t have to cast every one of their clients’ proxy votes but whatever decision they make must be made “prudently and solely ...

We encourage funds to provide tailored disclosures of risks in the emerging markets in which they invest, and related risks, so that investors are able ...

Enforcement action tied to BlueCrest's transfer of top traders from its flagship hedge fund to a proprietary hedge fund

"The disclosures to date have varied in the extent to which they discuss the effect of COVID on their operations, financial condition, and expectations of ...

The parties that are likely to be affected by the amendments include investors and other market participants that use the information in these filings (such ...

"There’s no time to waste in setting to ourselves to this task, and we look forward to rolling up our sleeves to establish requirements for ...

The proposal is designed to alleviate concerns that fund retail shareholders currently may receive disclosure materials that are not well-suited to their needs, which may ...

"It’s easier to get good regulations in repudiation to bad Trump administration rules than if you’re starting from scratch under ordinary circumstances."