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Van Eck Associates failed to share important details about the fund's planned fee structure with its board, according to the regulator.
February 16 -
Despite major pushback on various proposed regulations, the chair said he is focused on "getting it right."
February 14 -
The firm told the SEC years ago about employees' ability to improperly access certain information, though it had no evidence anyone had done so.
July 30 -
The case in unusual because of Coinbase's high profile in the U.S. and status as a publicly traded company.
June 6 -
The key is finding a way to handle increasingly complex compliance while continuing to serve clients effectively.
May 15 -
The church agreed to pay $1 million, while its Ensign Peak Advisers paid $4 million, to settle the SEC complaint that they failed to file forms disclosing the church's equity investments.
February 22 -
Some funds touting their environmental and socially responsible investments may be exaggerating.
September 1 -
Carrie Tolstedt invoked her right to remain silent about allegations she misled bank customers.
August 31 -
A roundup of this week's news includes advisors on the move, new hires and SEC enforcement.
August 2 -
SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.
July 28