Disclosure

The SEC wants it known that it has the expertise to examine complex algorithmic strategies and that the Commission focuses on all corners of the ...

During the relevant period, CES provided a written disclosure to certain retail broker-dealer clients that described a market order as an “[o]rder to buy (sell) ...

Leaders of a New York-based private equity adviser are used to judging the value of potential portfolio companies. They hired an IT company and then ...

These proceedings arise out of the failure by a registered investment adviser and its principals to disclose potential conflicts of interest to its private equity ...

This Guidance Update is focused on disclosure issues and certain procedural requirements with offering variations in Fund sales loads and new Fund share classes.3 We ...

The SEC's complaint alleged that Interinvest and Black funneled more than $17 million in client assets into four financially troubled Canadian penny stock companies in ...

Mark Nordlicht, Platinum Management (NY) LLC (Platinum Management), and Platinum Credit Management LP (Platinum Credit) overstated the value of an oil company that was among ...

Respondents collected nearly $1 million in investor funds by charging the Fund for ACM’s expenses. These expenses, which under the investment documentation provided to investors were ...

Deutsche Bank did not inform clients or potential clients that it added new venues to the DPRM based on subjective judgment rather than historical execution ...

PIMCO used a strategy that involved purchasing odd lot positions (i.e., small-sized pieces) of non-agency mortgage-backed securities (“NA MBS”) that traded at discounts to round ...