Home Disclosure Page 15

Keyword: Disclosure

855 results found
Stealing money

ASC sanctions strip-mall developers

Over $3.4 million of investors' money was diverted to undisclosed uses, regulators found

ESMA sanctions rating agency

European regulator said violations involved conflicts of interest

Big data

SEC alleges advisers engaged in AI-washing

Firms allegedly made misleading statements about their use of AI in investing strategies

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

FINRA fines firm over finfluencers

SRO brings first case following compliance review targeting firms' use of online influencers

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Lawsuit filed against SEC for scaled-back climate rules

Environmental organizations say U.S. regulator succumbed to industry pressure

  • By: IE Staff
  • March 14, 2024 March 14, 2024
  • 14:14

CRA extends relief for bare trust returns as filing deadline looms

Agency says it won’t apply gross negligence penalties for non-filing of 2023 bare trust returns except in “egregious cases”

ESG dividends

CSA expands ESG guidance for investment funds

Regulators seek to combat fund industry greenwashing risks

SEC climate rules likely to land in court

Industry, environmental groups gearing up for legal fight over disclosure requirements

Financial stock exchange market display screen board on the street

Fund managers paid for flows, rather than returns

It's AUM that matters most to managers' careers, research finds

BCSC sanctions second man in consulting sham

Abusive scheme exploited consultant exemption, regulator alleged