Disclosure

Hedge fund advisers wouldn’t necessarily expect to find disclosure lessons in an SEC enforcement case that touches on the 1983 Beirut bombing that killed 300 ...

is clear that, during the past decade, managers of U.S. companies are communicating more information about how they run their companies, perhaps in an ...

SEC Commissioner Hester Peirce is clearly a fan of new approaches to investor-friendly disclosure. But she’s not thrilled with the Commission’s proposed Form CRS (IA ...

The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recommendations to ...

As has been correctly noted, proposed Regulation Best Interest would require disclosure and at least mitigation of any material financial conflict of interest a broker-dealer ...

The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the division’s ...

The SEC needs to go back to the drawing board and revise and retest the content, language, and format of its proposed Customer Relationship Summary ...

Jeffrey Stevenson has run his own private equity firm, VSS Fund Management ($766M in AUM), from New York since 1982. The SEC says he put ...

Harbour failed to fully and fairly disclose to its advisory clients compensation it received under a marketing services agreement with a third-party broker-dealer (“Custodian A”) ...

BB&T Investment Services failed to disclose sufficient facts to enable clients to determine that the compensation arrangement between BB&T Investment Services and the Affiliated Adviser ...