Now that you’ve seen what ACA Insight has to offer, don’t be without it. Subscribe now!

The weekly news source for investment management legal and compliance professionals

Current subscribers - please log in to the website in the upper right-hand corner

News January 24, 2005 Issue

SEC Enforcement Staff Questioning DRP Disclosure

Better double-check your DRPs . . .

An industry attorney reported that enforcement staff in the SECís Division of Investment Management recently questioned an investment adviser about the level of detail of the disclosure on the firmís Form ADV disciplinary reporting pages. The questioned disclosures related to a state enforcement proceeding and an SRO regulatory matter.