1. According to The Journal, investigators are looking into the possibility that Chavez told her neighbor that she did not plan to disclose her arrangement with Mercado. 2. Failure to disclose such arrangements has led to several enforcement actions recently. 3. His was the low bid among several options, according to Holmes, but the arrangement was not disclosed in company filings. 4. Lazard was cited in the documents for failing to disclose the arrangement to its clients, for failing to monitor Ferber and for compromising its independence as an adviser. 5. No financial arrangements were disclosed. 6. Nor did they publicly disclose his arrangement with the Greater Talent Network when it was struck last year. 7. The firm failed to disclose this arrangement, the industry body contended. 8. The profit-sharing arrangement was disclosed by New Times, an alternative newspaper in Los Angeles. 9. The report will describe abuses of the soft-dollar system and make recommendations about how money-management firms ought to more fully disclose such arrangements to investors. |