News & Insights: Enforcement

The SEC’s First Enforcement of Liquidity Rule Violations

On May 5, 2023, the SEC announced its first-ever enforcement of the Liquidity Rule by charging Pinnacle Advisors LLC, an investment adviser, with “aiding and abetting Liquidity Rule violations” regarding one of its mutual funds.

Key Takeaways from the SEC’s ESG Risk Alert

SEC is expanding efforts to provide advisers with guidance on compliance considerations for the ESG marketplace. Learn how we can help.

Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts

Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities

Digital assets continue to be a hot topic among regulators as these securities gain momentum in the marketplace.

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

Securities and Exchange Commission finds some large traders not even aware of Rule 13H or its requirements.

SEC Restores Investigative Powers for Senior Enforcement Staff

The Acting Chair of the U.S. SEC, Allison Herren Lee, announced that the regulator has granted investigative powers to the enforcement division.

Investments in Certain Chinese Companies Restricted Under New Executive Order

The U.S. Securities and Exchange Commission issued a Risk Alert in response to an Executive Order regarding investments in certain Chinese companies.

The Top 10 Regulatory Headlines for Investment Advisers

Amid the unique changes and challenges 2020 has brought, there has been plenty of regulatory news from the SEC and OCIE.

Firm Fined for Violating Custody Rule and Miscalculating Performance Fees

The U.S. SEC charged a private fund adviser with violating sections of the Advisers Act governing performance fee calculations.

Private fund adviser ordered to pay over $1 million after violating partnership agreement

The SEC sanctioned a registered investment adviser for violating antifraud provisions of the Advisers Act. The violations stemmed from the adviser overcharging limited partners of a private equity fund it managed.

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