In the first half of August, the U.S. Securities and Exchange Commission (SEC) announced settlements with two different registered investment advisers for violations of the Investment Advisers Act of 1940. Specifically, on...more
8/28/2025
/ Conflicts of Interest ,
Custody Rule ,
Disgorgement ,
Enforcement Actions ,
Fees ,
Fiduciary Duty ,
Fraud ,
Investment Advisers Act of 1940 ,
Penalties ,
Portfolio Companies ,
Private Funds ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)