While the March 21, 2025 filing deadline under the Corporate Transparency Act (the “CTA”) remains in place, the Treasury Department announced on March 2nd that it will not enforce any penalties or fines associated with...more
Enforcement of the Corporate Transparency Act (the “CTA”) remains on hold, despite the decision by the U.S. Supreme Court on January 23, 2025 to stay a nationwide injunction against the CTA (McHenry v. Texas Top Cop Shop...more
1/27/2025
/ Anti-Money Laundering ,
Beneficial Owner ,
Compliance ,
Corporate Transparency Act ,
Enforcement Actions ,
FinCEN ,
Preliminary Injunctions ,
Reporting Requirements ,
SCOTUS ,
Stays ,
U.S. Treasury
Recently, the Securities and Exchange Commission (the “SEC”) announced charges against nine registered investment advisers (the “Advisers”) for advertising hypothetical performance to the general public on their websites...more
Recently, the U.S. Securities and Exchange Commission (the “SEC”) announced charges against an investment adviser (the “Adviser”) for using hypothetical performance metrics in advertisements that were misleading pursuant to...more
9/12/2023
/ Advertising ,
Anti-Fraud Provisions ,
Breach of Duty ,
Cease and Desist Orders ,
Cryptoassets ,
Enforcement Actions ,
Fiduciary Duty ,
FinTech ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Marketing ,
Misleading Statements ,
Penalties ,
Policies and Procedures ,
Securities and Exchange Commission (SEC) ,
Securities Violations