Risk is a much talked about concept these days, typically in the context of the pandemic regarding the virus. There it is difficult to assess the risk largely because of the unknowns. Risk was also a key issue for the …
This Week In Securities Litigation (Week of April 27, 2020) Read More »
The Share Class Selection Disclosure Initiative, launched in 2018, has become one of the Enforcement Division’s most successful, recent cooperation initiatives. The Initiative focused on the conflict that arises from undisclosed fees paid when investment advisers recommend mutual funds shares …
SEC Enforcement Concludes Successful Cooperation Initiative Read More »