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SEC orders firm to pay $1.3M for failing to disclose conflicts related to high-cost funds

Published: October 11, 2023

The SEC ordered a Delaware firm to pay $1.3M to settle charges it put clients in high-cost funds without disclosing conflicts of interest.

Source: investmentnews.com

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United StatesHolch EricksonPat FitzgibbonsNiels HolchWilmington Trust Investment ManagementExchange CommissionWilmington TrustPortfolio Architect

DoorDash launches PAC

Published: July 9, 2022

DoorDash has created its own political action committee, moving to expand its already growing Washington influence presence.

Source: politico.com

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New YorkUnited StatesFranklin SquareClark Atlanta UniversityCapitol HillDistrict Of ColumbiaThorn RunBrian KempNick SteingartChristian WalkerHanna PlattGump Strauss Hauer FeldEgan Fitzpatrick Malsch LawrenceTarah WheelerMark LeibovichHolch EricksonDavidoff Hutcher CitronHailey FuchsStephanie VanceAlexander DonovanStacey AbramsDaniel LippmanJonathan ElkinCampbell MillumMichael Schaffer

All change: A look at how rule changes at the SEC might affect IR

Published: June 9, 2022

The

Source: irmagazine.com

Related Topics:

Hong KongUnited KingdomNiels HolchElon MuskGary LabrancheHolch EricksonTed AllenSociety For Corporate GovernanceSecurities ExchangeUs Society For Corporate GovernanceSecurities Exchange ActCorporate GovernanceIr MagazineConomist GroupInvestor MagazineR WebNvestor Relations MagazineInvestor Relations Newsletter