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The SEC charged a company with disclosure violations and misrepresentations on SEC reporting forms related to a merger with a special purpose acquisition company. The misrepresentations concerned estimated warranty liability resulting from insufficient internal accounting controls.

In separate actions, an investment adviser settled SEC charges for (i) failing to disclose material information as to distributable income in a closed-end fund, and (ii) failing to waive certain advisory fees as required by an agreement with a mutual fund.