Disclosure

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 ...

This matter concerns a failure to disclose conflicts of interest by Lyxor Asset Management, Inc. (“Lyxor”), an investment adviser, to certain of its clients arising ...

The SEC’s proposed Regulation Best Interest comes in at more than 100 pages (BD Watch, April 19, 2018) but that hasn’t stopped critics from swiftly ...

This corrects a few items in the earlier SEC proposal calling for a Form CRS.

These proceedings arise out of breaches of fiduciary duty by Barcelona, a municipal advisor based in Edinburg, Texas, and Hinojosa, Barcelona’s sole member and associated ...

Four pages may seem incredibly short when you have to stuff it with reams of data and required language while keeping it “easy to read” ...

A clear message went to private equity fund advisers this week: Keep your organizational docs current and be sure to inform your LPs of your ...

This matter concerns an investment adviser’s disclosure failure regarding conflicts of interest between the adviser and its private equity fund clients and fund investors in ...