The SEC’s Enforcement staff is conducting an investigation related to the widely publicized December 2020 SolarWinds cyberattack. As part of this investigation, beginning on June 17, the staff sent letters...
The SEC has settled charges against a California-based investment adviser and its co-principal and managing member in connection with their failure to disclose or seek approval for material conflicts of...
Following a report issued in February 2020 on how the SEC should consider potential liability for chief compliance officers of financial services firms, the New York City Bar Association Compliance...
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