SEC Charges Five Private Fund Advisers with Custody Rule and Form ADV Violations
The SEC charged five private fund advisers with custody and Form ADV deficiencies.
September 07, 2023
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SEC Brings New Off-Channel Communications Cases, More to Come
SEC and CFTC enforcement cases for recordkeeping and supervision failures involving off-channel electronic communications on personal devices.
August 10, 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
Adviser Charged in Connection with Leveraged ETFs
The SEC has charged an adviser and part-owner with breach of duty of care in connection with use of leveraged ETFs.
May 19, 2023
SEC Announces First Enforcement Action Under Fund Liquidity Rule
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 Charges Against Audit Firm, Partner for Private Fund Valuation Failures
SEC settles enforcement action with audit firm and partner for valuation failures in audit of private funds.
April 12, 2023
SEC Charges Adviser with Selective Disclosure of Fees, Compliance Program Violations
SEC charges adviser for failing to disclose foreign exchange fees and Compliance Rule violations.
April 07, 2023
SEC Officials in the Spotlight at IAA Compliance Conference
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