An investment adviser settled charges with the SEC for failing to timely disclose the adviser's "control" purpose, with respect to an issuer whose shares it had acquired for the account of a hedge fund that it managed.
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A fund administrator settled charges with the SEC for failing to identify "red flags" of fraudulent behavior on the part of one of its hedge fund clients.
The Investor Advisory Committee reviewed draft recommendations on (i) single-stock exchange-traded funds, (ii) proposed amendments to certain reporting requirements and (iii) third-party oversight of investment advisers.
An investment adviser settled SEC charges for imposing excess management fees and failing to disclose conflicts of interest.
An investment adviser settled SEC charges for failure to (i) disclose conflicts of interest related to its ownership of special purpose acquisition companies and (ii) file timely and accurate reports.