Adviser Charged in Connection with Leveraged ETFs
The SEC has charged an adviser and part-owner with breach of duty of care in connection with use of leveraged ETFs.
May 19, 2023
Tags: ETFs, Fiduciary, SEC Enforcement
Tag: ETFs
Adviser Charged in Connection with Leveraged ETFs
The SEC has charged an adviser and part-owner with breach of duty of care in connection with use of leveraged ETFs.
May 19, 2023
Tags: ETFs, Fiduciary, SEC Enforcement
SEC Considers Potential Rulemaking on Complex Exchange-Traded Products
SEC staff is reviewing the potential risks of complex exchange-traded products and will present rulemaking proposals to address those risks.
October 06, 2021
Tags: Allison Herren Lee, Caroline Crenshaw, ETFs, Gary Gensler
Adviser Pays $300K to Settle Proprietary ETF Disclosure Charges
Adviser Pays $300K to Settle Proprietary ETF Disclosure Charges August 24, 2021 The SEC has fined a San Francisco-based digital adviser for failing to adequately disclose the adviser’s conflicts of...
August 24, 2021
Tags: Conflicts of Interest, ETFs
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress
SEC Investor Advocate Offers Harsh Critique of Regulator in Report to Congress Faults Form CRS Investor Testing, Calls for Reversal of Proxy, Derivatives, Exempt Offerings Rules January 13, 2021 ...
January 13, 2021
Tags: Accredited Investor, Allison Herren Lee, Caroline Crenshaw, Derivatives, ESG, ETFs, Form CRS, Private Offerings, Proxy Advisory Firms, Proxy Voting, Rick Flemming, SEC Investor Advocate
OFAC, SEC Issue Guidance Related to Executive Order on Investments in Chinese Military Companies
OFAC, SEC Issue Guidance Related to Executive Order on Investments in Chinese Military Companies Updated January 12, 2021 OFAC has issued several frequently asked questions (FAQs) related to an executive order, discussed...
January 12, 2021
Tags: OCIE, ETFs, Mutual Funds, SEC Examinations, Treasury Department
OFAC Issues FAQs, List Related to Exec Order on Chinese Military Companies
OFAC Issues FAQs, List Related to Exec Order on Chinese Military Companies January 5, 2021 OFAC has issued several frequently asked questions (FAQs) related to an executive order, discussed...
January 05, 2021
Tags: ETFs, Mutual Funds, Securities, Trading, Treasury Department
FSOC Expresses Concerns with Fund Leverage and Redemptions
FSOC Expresses Concerns with Fund Leverage and Redemptions Calls on SEC to Study Potential Emerging Risks from Investment Funds December 9, 2020 Not surprisingly, the 2020 annual report of...
December 09, 2020
Tags: Coronavirus, COVID-19, Derivatives, ETFs, FSOC, Hedge Funds, Mutual Funds
IM Division Director Blass Discusses Innovations and Areas of Future Focus
IM Division Director Blass Discusses Innovations and Areas of Future Focus December 18, 2019 Dalia Blass, Director of the SEC’s Division of Investment Management, recently discussed innovations in the fund...
December 18, 2019
Tags: Bitcoin, Dalia Blass, Discosure, ETFs, SEC
SEC’s AMAC Discusses COVID-19 Impact, Outlines ESG, Private Investment Work Streams
SEC’s AMAC Discusses COVID-19 Impact, Outlines ESG, Private Investment Work Streams May 29, 2020 In its second meeting since its formation, the SEC’s Asset Management Advisory Committee (AMAC) met...
May 29, 2020
Tags: Money Market Funds, AMAC, Coronavirus, COVID-19, Dalia Blass, Electronic Delivery, ESG, ETFs, Jay Clayton, Private Funds, Private Offerings
SEC Charges U.S. Adviser, Canadian Affiliate in Connection with Fund Purchases of ETFs Exceeding Investment Company Act Limits July 10, 2020 The SEC has charged a U.S. investment adviser...
July 10, 2020
Tags: ETFs, SEC Enforcement
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