News & Analysis as of

Omissions Investment Funds

Orrick, Herrington & Sutcliffe LLP

CFTC Partners with 30 States to Bring a Sweeping Precious Metals Fraud Action

On September 22, 2020, the CFTC along with 30 state securities regulators filed a historic joint enforcement action against two precious metals dealers and their companies for perpetrating a $185 million scheme to defraud...more

Carlton Fields

Recalls of Loaned Securities by Insurance Dedicated Funds

Carlton Fields on

In March, the SEC sanctioned the investment advisers of two funds supporting variable insurance contracts for inadequate disclosure about the funds’ recalls of loaned portfolio securities in advance of the securities’...more

2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide