The SEC has filed a complaint in federal district court in Georgia against an investment adviser and its owner claiming that they made false statements in the adviser’s Form ADV...
The SEC’s Divisions of Investment Management and Trading and Markets have issued a statement providing no-action relief from failure to deliver certain international adviser and fund communications. The relief applies...
Discussions on index funds and credit rating agencies – and recommendations on ESG disclosure and disclosure effectiveness more generally – dominated the May 21 meeting of the SEC’s Investor Advisory...
In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules addressing investment adviser advertisements and payments to solicitors. According to the SEC, the...
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