SEC to Shops: Virus No Excuse to Slack on Client Disclosure

Ignites
April 16, 2020

John Hunt was quoted in the article, "SEC to Shops: Virus No Excuse to Slack on Client Disclosures," which was published in Ignites [sub. req.] on April 16, 2020.

In the article, John discusses some of the areas firms need to watch in light of the SEC's recent alert reminding shops to deliver "timely and material" information to clients, including paper prospectuses to new investors, despite the pandemic. Specifically, John notes that firms should focus on valuation, both of equities and bonds.

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