Georgia-Based Adviser Charged in Connection with Disclosure and Compliance Violations Related to Adviser’s Financial Situation October 5, 2020 The SEC has filed a complaint in federal district court in...
SEC Provides Relief Related to Mailing Adviser and Fund Documents to Clients in International Jurisdictions June 25, 2020 The SEC’s Divisions of Investment Management and Trading and Markets have...
SEC’s IAC Discusses Index Funds, ESG, Disclosures and Credit Rating Agencies June 3, 2020 Discussions on index funds and credit rating agencies – and recommendations on ESG disclosure and...
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules November 25, 2019 In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules...
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