Disclosure

Look for the SEC to finalize its recommended rulemaking on liquidity risk management and the use of derivatives “this year.” In a May 20 address ...

Blue Ocean’s internal policies and procedures established that Winkelmann, as Blue Ocean’s CEO and CCO, was responsible for Blue Ocean’s compliance program. During the relevant ...

Materially inaccurate information in nearly three quarters of the variable annuity replacement applications approved by a MetLife broker-dealer subsidiary over a six-year period has yielded ...

Message received. The morning of the SEC’s Compliance Outreach Program April 19 officials counted cherry-picking among current exam/enforcement focus areas. That same afternoon the Commission ...

Issues tied to fees and expenses are “dominating” today’s SEC examinations of private fund advisers. That message was delivered by several Kirkland & Ellis partners ...

Predicted continued explosive growth of robo-advisers has regulators increasingly scrutinizing the automated investment model. One key concern is ensuring that robo-advisers are effectively meeting their ...

The SEC has brought its first-ever fiduciary duty case against a municipal advisor for failing to disclose a conflict of interest to a municipal client. ...

Three American International Group affiliates have been caught up in the SEC’s active probe of conflicts of interest and disclosure surrounding mutual fund share class ...

For the first time since last summer, FINRA released March 4 seven new frequently asked questions tied to the SRO’s research rules. In this go ...

The role of exchange-traded funds, private fund advisers, disclosure and that of boards of directors in fund oversight are current hot button areas for the ...