Disclosure

Firm was victim of Hollywood scam, gets credit for prompt remediation

Disclosure anchors the advisory regulatory regime but a key phrase clings to it that some consider vague and potentially troublesome: “informed consent”

The adviser did not fulfill its duty of care obligations when it exchanged Wrap Program clients’ existing assets in certain mutual funds for other investments ...

A divided Commission voted Oct. 2 to amend portfolio thresholds and to make other proposed changes that would require CPOs/CTAs to disclose risks, conflicts, their ...

The firm's revised P&Ps now require reps to request oral consent to electronic delivery from customers using a consent and disclosure script. If a customer ...

'The clock is ticking'

By slipping 2019 fiduciary guidance in as dicta, Commission may signal a crackdown

New rules softer than proposal, still impose rigid disclosures on exempt advisers

The adviser and parent lost a trial for breach of contract claims brought against them concerning certain other ETFs that Adviser managed .... The trial ...

Changes haven't been linear, but the direction has