Disclosure

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 ...

Last week, FINRA commenced an enhanced disclosure review process for public financial records of those individuals seeking registration with the broker-dealer. The move—the latest under ...

It is an oft-repeated refrain at industry conferences and in regulators’ speeches: fees and expenses of private equity fund advisers are a definite focus area ...

The Securities and Exchange Commission (“Commission”) is adopting amendments to its forms designed to improve the reporting and disclosure of liquidity information by registered open-end ...

Flawed compliance and surveillance procedures can trip up even the largest of firms. Merrill Pierce, Pierce, Fenner & Smith makes the case. The dual registrant, ...

The Securities and Exchange Commission (“Commission”) is seeking public comment from individual investors and other interested parties on enhancing disclosures by mutual funds, exchange-traded funds ...

These proceedings arise out of investment adviser DVU’s failure to make full and fair disclosure to clients and prospective clients of material conflicts of interest ...