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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 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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CapWealth Plans to Fight SEC Charges Over Share Class Conflicts

CapWealth Plans to Fight SEC Charges Over Share Class Conflicts
The SEC alleges CapWealth failed to disclose lower-cost share class options to its clients. But the RIA s founder calls the complaint a shameful exercise and an abuse of power.”
The founder of a Tennessee firm plans to fight charges from the Securities and Exchange Commission that his firm failed to disclose conflicts arising from clients being invested in higher-cost mutual fund share classes for clients when lower-cost options were available.
The SEC’s complaint against Franklin, Tenn.-based CapWealth Advisors is the latest in a number of filings following the Commission’s Share Class Selection Disclosure Initiative. ....

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