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Private Funds In The Hot Seat Under Gensler's SEC - Corporate/Commercial Law

While Gensler has already confirmed his focus on SPACs, ESG and cryptocurrency, he has been coy regarding private funds. ....

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Complex Product, Form CRS Fails and More: Lessons Learned and Worth Reading, Watching, and Listening for September 2021 | Foreside

Complex Product, Form CRS Fails and More: Lessons Learned and Worth Reading, Watching, and Listening for September 2021 | Foreside
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SEC Fines Fla. RIA $1.6M for Failing to Disclose Share Class Conflicts

SEC Fines Fla. RIA $1.6M for Failing to Disclose Share Class Conflicts
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SEC Focus under Gensler: Private Funds Testimony before House Appropriations

Gensler's focus on private funds was uncertain until now. This week he testified before subcommittee to U.S. House Appropriations Committee, that he has sought staff recommendations for increased private fund reporting and disclosure through Form ADV, Form PF, and other enhancements. ....

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Voya Financial to Pay Nearly $23 Million for Share Class Violations

Voya Financial to Pay Nearly $23 Million for Share Class Violations
The order is the latest in a recent run of SEC actions against firms alleging they failed to disclose conflicts around mutual fund share class selection.
Voya Financial Advisors will pay nearly $23 million for alleged mutual fund share class selection violations, according to a Securities and Exchange Commission administrative order filed Tuesday. The commission also faulted the $15.9 billion firm for failing to disclose conflicts of interest in its use of certain products.
The order is the latest in a recent run of SEC actions against firms alleging they failed to disclose conflicts around mutual fund share class selection. ....

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