Dual-Registrant Pays Over $18 Million to Settle Charges Related to Wrap Fee Program Fees, Monitoring
Dual-Registrant Pays Over $18 Million to Settle Charges Related to Wrap Fee Program Fees, Monitoring, and Disclosures January 5, 2021 The SEC has fined a New Jersey-based dual-registrant over...
January 05, 2021
Dual-Registrant Pays Over $20 Million to Settle Share Class, Cash Sweep, and Illiquid Alt
Dual-Registrant Pays Over $20 Million to Settle Share Class, Cash Sweep, and Illiquid Alt December 28, 2020 The SEC has fined an Iowa-based dual-registrant over $20 million in connection...
December 28, 2020
President Trump Signs Holding Foreign Companies Accountable Act; SEC Issues Findings on Emerging Markets Fund Disclosures December 21, 2020 President Trump has signed into law the Holding Foreign Companies...
December 21, 2020
Adviser Fined in Connection with Disclosure of Share Classes Used by Model Provider
Adviser Fined in Connection with Disclosure of Share Classes Used by Model Provider December 21, 2020 The SEC has settled charges against a Nebraska-based dual-registrant in connection with share...
December 21, 2020
SEC Proposes Updates to Fund Disclosure Framework
SEC Proposes Updates to Fund Disclosure Framework August 11, 2020 As part of its investor experience initiative, the SEC has proposed an updated disclosure framework for mutual funds and...
August 11, 2020
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