Disclosure

From May 2008 to 2013, JPMS failed to disclose that it designed and operated Chase Strategic Portfolio, a retail unified managed account program, with a ...

JPMCB failed to fully disclose its preference for investing its client funds in certain commodity pools or exempt pools, namely hedge funds and mutual funds ...

This proceeding involves fraud and breaches of fiduciary duty by Li and Canarsie from late 2012 to January 2015, which exposed the Canarsie Capital Fund ...

JHP did not adequately disclose to the advisory boards of the affected Funds the potential conflicts of interest created by the undisclosed loans and cross-over ...

The Complaint alleged that YZ and Zhang used misleading and deceptive promotional material, in violation of NFA Compliance Rules 2-2(a), 2-29(a)(1), 2-29(b)(1) and (2). The ...

Fenway Consulting ultimately received an aggregate of $5.74 million from the Portfolio Companies during the Relevant Period. However, in contrast to the monitoring fees paid pursuant ...

It’s common for private equity limited partnership agreements to contain the right for the adviser to set up coinvestment vehicles. The term can mean many ...

It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails ...

The director of the SEC’s Division of Investment Management has taken to the stage a third time to drive home the Commission’s focus on alternative ...

You now have a second chance to weigh in on FINRA’s controversial Comprehensive Automated Risk Data System. The SRO is now seeking comment on a ...