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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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 failure to (i) disclose conflicts of interest related to its ownership of special purpose acquisition companies and (ii) file timely and accurate reports.
An investment adviser settled SEC charges for failing to file a Form 13-F, which requires quarterly public disclosure of the equity portfolios of an entity holding at least $100 million in securities assets.
An investment adviser settled SEC charges for conflicts of interest, material misstatements and omissions, supervision violations and reporting violations related to the adviser's activities with special purpose acquisition companies.