Disclosure

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 ...

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 ...