An investment adviser settled charges for making misleading statements in advertisements based on hypothetical performance.
News & Insights
At an SEC Investor Advisory Committee meeting, regulators, academics and market participants examined (i) the disparity in growth between the private and public markets, (ii) oversight of investment advisers and related custody rules, and (iii) a recent rule proposal regarding open-end fund liquidity risk management and swing pricing.
The CFTC issued a Request for Information on risks to the derivatives and commodities markets presented by climate change.
An investment adviser settled SEC charges relating to alleged misrepresentations on fees and failures to disclose conflicts of interest.
In a 2018 Annual Report, the Financial Stability Oversight Council recommended that financial regulatory agencies take additional steps to ensure U.S. financial stability.