Disclosure

Three VALIC employees worked to steer union members to the advisory firm while being “deceptively identified” as union employees

At no time during the relationship between the Teachers Union Entity and VALIC, were the K-12 teachers told that VALIC was making payments to the ...

In March of 2017, VFA disclosed for the first time the receipt of Revenue Sharing, but still did not fully and fairly disclose that conflict ...

The Committee’s initial reviews have identified examples that may lack certain disclosures or could be clearer or otherwise improved

NOTE FOR INTERNATIONAL CLIENTS: This information is required by law and is not a promotion of Morgan Stanley's products and services. Further, not all products ...

The proposal calls for raising the reporting threshold from $100M to $3.5B

Asset managers who offer “green” or “sustainable” investments ought to disclose how they’re using those terms, Republican SEC Commissioner Elad Roisman says. “How are they ...

Investment advisers to funds that have economic exposure to companies based in emerging markets also have responsibilities to inform their investors

An investment adviser’s fiduciary duty includes, among other things, an obligation to seek best execution for client transactions

The opportunity presents to see how they answered the delicate question of how their financial professionals make money