- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Mutual funds and ETFs face new disclosure requirements and redesigned liquidity risk management programs under a new SEC rule targeting systemic risk. Joe Mont has more.
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Invesco Advisors agreed to pay $17.5 million to the Securities and Exchange Commission to settle allegations that the company misled investors about the extent of its assets that included environmental, social, and governance factors.
Two affiliates of JPMorgan Chase have agreed to pay $151 million to settle five separate enforcement actions for making misleading disclosures, breaching fiduciary duties, and other failures related to investors.
Four current or former public companies will pay a total of nearly $7 million in fines to settle charges by the Securities and Exchange Commission that they underplayed or failed to disclose material information about how the SolarWinds Orion hack affected them.
