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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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.
IOSCO requested public comment on the findings of a new report that surveyed the approaches and practices of regulators concerning incentives for order routing and execution.
The SEC Division of Corporate Finance updated the Compliance and Disclosure Interpretations for beneficial ownership reporting to clarify on exemption in the Hart-Scott-Rodino Act.