One Principal Barred for Three Years from Acting as Chief Compliance Officer A Michigan-based investment adviser and two of its principals are paying more than $900,000 to settle SEC charges...
Increases in AUM, Net Worth Thresholds for Qualified Clients Effective Aug. 16 August 24, 2021 The inflation adjustments that increased the assets-under-management and net worth tests in the definition...
SEC Increases AUM, Net Worth Thresholds for Qualified Clients as of August 16 June 29, 2021 The SEC has published an order that makes an inflation adjustment to the...
BDC Adviser Fined Over $800,000 for Accepting Fees Without Board Knowledge or Approval June 15, 2021 The SEC has settled charges against a California-based investment adviser and its co-principal...
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