Jimmy Kang

Jimmy Kang

Lowenstein Sandler LLP

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SEC Settlement Reflects Continued Scrutiny Regarding Conflicts and Preferential Treatment

On May 14, 2024, the U.S. Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser (Adviser) that found the Adviser had (a) failed to adequately disclose conflicts pertaining to...more

5/21/2024  /  Conflicts of Interest , Executive Compensation , Film Industry , Investment Adviser , Investment Advisers Act of 1940 , Investors , Loans , Securities and Exchange Commission (SEC) , Separately Managed Accounts (SMA) , Withdrawal

SEC Finds Advisers' Compliance with Marketing Rule Still Lacking Despite Examination and Enforcement Focus

Rule 206(4)-1, as amended (the Marketing Rule), continues to be an area of focus for the U.S. Securities and Exchange Commission (SEC). On April 17, 2024, the SEC Division of Examinations (Division) published a risk alert...more

5/2/2024  /  Advertising , Books & Records , Compliance , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Policies and Procedures , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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