Happy New Year and Important Reminders Regarding CCO Liability
As we begin a new year, our thoughts turn to our clients and friends who have made our progress poss...
How to Make $13 Million Before the New Year
The SEC announced on December 13 that they have brought charges against a New Jersey man and his com...
SEC Raises Awareness Surrounding CCO Outsourcing
Yesterday, the SEC indirectly affirmed that registered investment advisers and investment companies ...
SEC Provides Clarity on When and How the Enforcement Division Goes After CCOs
Yesterday, Director of the Enforcement Division of the Securities and Exchange Commission, Andrew Ce...
The SEC Outdoes Itself Again Announcing A Record Year for Enforcement Action
The Securities and Exchange Commission announced on October 22, 2015 a comprehensive report describi...
The Hunt Continues: SEC Goes After Large Private Equity Firm for Undisclosed Fees
On October 7, 2015, the SEC announced a large settlement with a private equity firm charged with fai...
COMPLIANCE SCIENCE SUMMIT 2015
When: November 17, 2015 Where: Convene Midtown East | 730 Third Avenue | New York, NY 10017 Janaya M...
Adviser Settles SEC Cyber Enforcement Action
The Securities and Exchange Commission announced on September 22, 2015 that an investment adviser ha...
First Case Brought Under Distribution-in-Guise Initiative
On September 21, 2015, the Securities and Exchange Commission charged an asset manager with im...
New Cybersecurity Risk Alert Announcing Second Round of Cybersecurity Sweep Exams
On September 15, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) is...