SEC and CFTC enforcement cases for recordkeeping and supervision failures involving off-channel electronic communications on personal devices.
August 10, 2023
SEC charges private fund adviser for miscalculating and not disclosing fees related to permanent impairment criteria.
July 27, 2023
The SEC has charged a fund’s adviser and independent trustees in the first enforcement action under the fund liquidity rule.
May 16, 2023
SEC settles enforcement action with audit firm and partner for valuation failures in audit of private funds.
April 12, 2023
More than 500 attendees, speakers, sponsors, and exhibitors joined the IAA in Washington, D.C. for the 2023 Investment Adviser Compliance Conference. SEC officials, industry experts, and IAA staff discussed critical topics for investment advisers, including the Marketing Rule, cybersecurity, digital assets, the volume of SEC proposals, exams and enforcement, and more.
March 17, 2023