ASIC

Investment Funds Told to Correct Advertising and Disclosure

Today ASIC put responsible entities (REs) of all managed investment schemes (MISs) ‘on notice’ that they must ensure their investment fund advertising provides clear, balanced and accurate information. This follows ASIC’s risk based surveillance of advertising…

US Securities and Exchange Commission - VALIC

SEC to Hold National Compliance Outreach Seminar for…

Washington D.C., Feb. 25, 2020 — The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers.  The event is intended to…