SEC is expanding efforts to provide advisers with guidance on compliance considerations for the ESG marketplace. Learn how we can help.
Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.
Firm Principal Fined by the SEC for Supervisory Violations WHAT HAPPENED? Recently, the U.S. Securities […]
Digital assets continue to be a hot topic among regulators as these securities gain momentum in the marketplace.
On March 3, 2021, the Division of Enforcement of the U.S. SEC (the Division) released its list of 2021 Examination Priorities.
Securities and Exchange Commission finds some large traders not even aware of Rule 13H or its requirements.
The Acting Chair of the U.S. SEC, Allison Herren Lee, announced that the regulator has granted investigative powers to the enforcement division.
The U.S. Securities and Exchange Commission issued a Risk Alert in response to an Executive Order regarding investments in certain Chinese companies.
Amid the unique changes and challenges 2020 has brought, there has been plenty of regulatory news from the SEC and OCIE.
The U.S. SEC charged a private fund adviser with violating sections of the Advisers Act governing performance fee calculations.
