Tag: SEC Enforcement
SEC Under New Leadership: Changing Priorities and Continued Adviser Scrutiny
This article explores key developments and considerations for advisers navigating the evolving landscape in the SEC’s Division of Enforcement program since the arrival of SEC Chairman Paul Atkins in April 2025.
January 07, 2026
Tags: SEC Enforcement
Same Diligence, Different Emphasis | The Outlook for SEC Exams and Enforcement
With so much in flux in Washington, many investment advisers are wondering: Will the SEC exam and enforcement environment be changing under the new administration?
May 15, 2025
Tags: Compliance Conference, Examinations, SEC Enforcement, SEC Examinations
Bad Facts Create Good Law on Negligence Standard for Investment Advisers
Recent court decision SEC v. Rashid clarifies the negligence standard applicable to the anti-fraud provisions of the Advisers Act.
July 18, 2024
Tags: Fiduciary, SEC Enforcement
How to Get Cooperation Credit in an SEC Enforcement Case
SEC Division of Enforcement Director discusses five principles of effective cooperation in SEC investigations.
June 05, 2024
Tags: SEC Enforcement
SEC Continues to Focus on Off-Channel Communications
At the 2024 IAA Investment Adviser Compliance Conference, a panel of compliance experts discussed the SEC’s current focus on off-channel communications and how advisers should respond.
April 19, 2024
Tags: Books & Records, Off-Channel Communications, Recordkeeping, SEC Enforcement
Highlights from SEC Speaks Conference
Senior SEC staff discuss current priorities and initiatives at the SEC Speaks conference.
April 05, 2024
Tags: SEC Enforcement, SEC Examinations, SEC Investment Management
SEC Reports Record Year for Its Whistleblower Program
This article discusses the impacts of the SEC’s Whistleblower Program and Rule on investment advisers.
January 10, 2024
Tags: SEC Enforcement, Whistleblower
CCO Liability: Enforcement Director Speech & Update
This article discusses the issue of CCO liability.
December 08, 2023
Tags: CCO, Compliance, SEC Enforcement
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
Tags: Form ADV, Custody, SEC Enforcement
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
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