CCO Liability: Enforcement Director Speech & Update
This article discusses the issue of CCO liability.
December 08, 2023
Private Fund Adviser Charged for Excessive Fees and Conflict Disclosure
SEC charges private fund adviser for miscalculating and not disclosing fees related to permanent impairment criteria.
July 27, 2023
Highlights from the SEC’s Outreach Program for Advisers and Funds
Summary of the SEC’s 2022 Investment Adviser/Investment Company National Seminar: Compliance Outreach Program.
November 17, 2022
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
May 31, 2022
Electronic Communications Conundrum: Risks vs. Regulatory Obligations
16 steps to take in light of the SEC’s enforcement case for supervisory and recordkeeping failures stemming from the use of personal devices for business communications.
January 26, 2022
Dual-Registrant Fined $8 Million for Insufficient Compliance Policies Related to Volatility-Linked ETP July 20, 2021 The SEC has fined a dual-registrant $8 million after finding it did not adopt...
July 20, 2021
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges
Pricing Data Services Company Pays $8 Million to Settle Compliance Failure Charges Company Found to Have Used Single Broker Quotes without Sufficient Controls January 5, 2021 The SEC has fined a...
January 05, 2021
SEC Underscores Focus on Suitability of Placing Retail Clients in Complex Products With Enforcement Actions, Formal OCIE Statement November 17, 2020 Signaling an intention to focus on suitability of...
November 17, 2020
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