On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2020 national examination priorities. This is the eighth year that OCIE has published its fiscal year examination priorities. ...more
1/31/2020
/ Digital Assets ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
FinTech ,
Information Security ,
MSRB ,
OCIE ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Retail Investors ,
Robo-Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
Gregory J. Nowak, a partner and practice leader for hedge funds in Pepper Hamilton’s Private Fund Services Practice Group, hosts a series of candid, interactive webinar discussions for West LegalEdcenter on what is going on...more
1/10/2020
/ Civil Monetary Penalty ,
Department of Justice (DOJ) ,
Disgorgement ,
Enforcement Actions ,
Equitable Relief ,
Financial Industry Regulatory Authority (FINRA) ,
Fund Managers ,
Injunctions ,
Investment Firms ,
Investment Funds ,
Investment Management ,
Remediation ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Violations ,
Self-Reporting