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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
should be your prime source.”- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
Voya advisers settle SEC charges they failed to disclose securities lending conflict
The SEC has charged investment adviser subsidiaries of Voya Holdings with failing to disclose conflicts of interest. They were also acused of misleading disclosures in connection with their practice of recalling securities on loan so affiliates could receive tax benefits.
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