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Fees Disclosure Requirements Settlement

Seward & Kissel LLP

SEC Settles Charges with Adviser for Failing to Disclose Conflicts of Interest

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Who may be interested: Investment Advisers; Registered Investment Companies; Boards of Directors - Quick Take: The SEC recently settled charges with an investment adviser relating to the adviser’s failure to disclose...more

Seward & Kissel LLP

SEC Settles Charges with Adviser for Failure to Disclose Foreign Currency Exchange Fees

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Who may be interested: Registered Investment Advisers. Quick Take: The SEC settled charges against a registered investment adviser alleging that the adviser failed to fully disclose to its clients foreign currency...more

Venable LLP

Is Your New Year’s Resolution to Comply with Automatic Renewal Laws? If So, Look No Further

Venable LLP on

The law surrounding negative option and continuity programs continues to evolve rapidly. Feeling a bit overwhelmed with the latest developments? Below is what you need to know in light of new laws, new enforcement actions,...more

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