Conflicts of interest are a key issue for investment advisers and others. The Commission has brought a number of actions alleging that investment advisers failed to disclose conflicts which could impact clients. For example, the agency filed a series of …
Month: June 2022
Injecting Transparency & Competition into Equity Markets
The Commission’s rule writing calendar may be about to have a meltdown. The agency is considering a number of significant rule writing-proposals covering important areas. A number of those proposals are controversial, covering climate disclosure and ESG. Nevertheless, Chair Gensler …
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