Latest Disclosure & regulation articles

July 21, 2014

‘Largest hedge funds and asset management advisers in the nation’ involved, regulator says

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July 10, 2014

Regulator to study asset management and investment banking for unfair practices

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July 2, 2014

Funds can consider ESG principles and ‘non-financials’ in investment decisions, says follow-up to Kay report

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June 17, 2014

Regulator fines advisory firm and owner $2.2 mn after head trader ‘marginalized’

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June 9, 2014

White orders series of studies and recommendations to better control HFT

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May 20, 2014

Multiple agencies investigating the same allegations can lead to unfair punishment, says White 

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May 16, 2014

Following court victory against proposed SEC disclosure rule, oil companies request its redrafting

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May 12, 2014

Stein says SEC disclosure review should focus on investors’ interests

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May 6, 2014

Regulator says exchange gave favorable contracts and early information to some

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April 25, 2014

New commission guidance says 140-character messages to investors can include hyperlinks instead

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