On Wednesday, the SEC proposed rules addressing conflicts of interest associated with the use of predictive data analytics by advisers and broker-dealers in investor interactions.
Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.
One Principal Barred for Three Years from Acting as Chief Compliance Officer A Michigan-based investment adviser and two of its principals are paying more than $900,000 to settle SEC charges...
The SEC has fined an Ohio-based dual-registrant for violating the Custody Rule because the firm did not provide investors in two private funds that it advised with audited financial statements...
SEC Brings More Revenue Sharing Disclosure Cases August 17, 2021 Revenue sharing disclosure violations are at the heart of two new enforcement actions by the SEC. In the first...
SEC Adds Lack of Disclosure of Margin Interest Mark-Ups to Share Class-Related Violations August 4, 2021 In another case that underscores the SEC’s harsher findings and penalties for share...
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