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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Massachusetts Supreme Judicial Court Upholds Fiduciary Duty Rule for Broker-Dealers
The regulation, challenged by Robinhood, requires broker-dealers to act as fiduciaries when providing investment advice to clients.
August 30, 2023
SEC Settles First Enforcement Action Under the Marketing Rule
SEC settles first enforcement action under new Marketing Rule; charges relate to misleading hypothetical performance in advertisements and several other compliance failures.
August 22, 2023
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
SEC Declines to Weigh In On Whether Syndicated Loans are Securities
The case in question is on appeal before the Second Circuit Court of Appeals following a lower court decision that the syndicated loan at issue in that case is not a security.
July 25, 2023
Advisers Charged with Insufficient Valuation Policies
The SEC has charged two private fund advisers with insufficient valuation policies and procedures relating to investments of private funds they managed.
June 21, 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