Tag: Enforcement
SEC Offering Amnesty to Firms Impacted by SolarWinds Cyberattack – If They Cooperate
The SEC’s Enforcement staff is conducting an investigation related to the widely publicized December 2020 SolarWinds cyberattack. As part of this investigation, beginning on June 17, the staff sent letters...
July 19, 2021
Tags: Cybersecurity, Enforcement
New York City Bar Recommends SEC Framework for CCO Liability
Following a report issued in February 2020 on how the SEC should consider potential liability for chief compliance officers of financial services firms, the New York City Bar Association Compliance...
June 15, 2021
Tags: CCO, Compliance, Enforcement
BDC Adviser Fined Over $800,000 for Accepting Fees Without Board Knowledge or Approval
The SEC has settled charges against a California-based investment adviser and its co-principal and managing member in connection with their failure to disclose or seek approval for material conflicts of...
June 15, 2021
Tags: Conflicts of Interest, Enforcement, Fees and Expenses, Fiduciary, Investment Company Act
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