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...
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...
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...
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...
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...
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