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.
THIS IS MEMBERS-ONLY CONTENT
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
Related articles
-
ArticleSEC gets earful about disclosure requirements from investors
Disclosure requirements for public companies have ballooned over the decades and need to be reigned in, the three members of the Securities and Exchange Commission (SEC), said Thursday.
-
News BriefSEC reportedly investigating MassMutual’s accounting amid ongoing government shutdown
Even though the U.S. federal government is currently shut down, the U.S. Securities and Exchange Commission appears to still be at work. The financial regulator is reportedly investigating a major insurance and asset management company over its accounting practices.
-
Basic PageSEC taps military judge as Enforcement Division Director
The SEC has named Margaret “Meg” Ryan, a senior military judge and Harvard Law lecturer, as its next Enforcement Division Director—an unconventional pick that could signal changes in enforcement strategy.