Disclosure

FWA failed to disclose that it had a conflict of interest as a result of the additional compensation it received for those share class selection ...

BKS Advisors had a compliance manual that included a “Block Order Allocation” policy aimed at preventing unfair trade allocations.  But that policy didn’t prevent long ...

With the near $4 trillion municipal securities market ever increasing, the SEC has moved to further enhance transparency and timely access to important market information.  ...

The expectation from brochures provided to clients and Forms ADV filed with the SEC was that Merrill Lynch would use “disclosed investment quality standards” when ...

May you never have to answer this question: Must we disclose a disciplinary event in our Form ADV brochure and distribute the document to our ...

Halloween this year brings tricks and treats – and the start of the NFA’s rule on virtual currency disclosures. October 31 is the start date ...

The NFA is proposing a requirement that CPOs, CTAs, FCMs and others disclose the risks inherent in virtual currencies. The SRO states in a new ...

We are proposing amendments to the financial disclosure requirements for guarantors and issuers of guaranteed securities registered or being registered, and issuers’ affiliates whose securities ...

Devlin, then a managing partner and the Chief Compliance Officer (“CCO”) of a private equity adviser (“Adviser”), arranged for an Adviser-managed fund to invest in ...

This matter concerns disclosure violations arising from an undocumented and undisclosed $3 million dollar loan from Norman M.K. Louie (“Louie”), who at the time was ...