The SEC’s September 17, 2024, actions signal its commitment to penalize non-compliance, while encouraging market participants to self-report violations.
On September 17, 2024, the US Securities and Exchange Commission...more
9/30/2024
/ Compliance ,
Cooperation ,
Enforcement Actions ,
Filing Requirements ,
Institutional Investors ,
Investment Adviser ,
Investment Management ,
Market Participants ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Self-Reporting
The SEC’s penalty against fixed-income manager Deer Park signals increased vigilance over investment advisers’ valuation policies for client assets.
On June 4, 2019, Deer Park Road Management Company, LP (Deer Park or the...more
In Robare, the D.C. Circuit clarifies the negligence and willfulness standards under Sections 206 and 207 of the Act.
On April 30, 2019, the United States Court of Appeals for the District of Columbia Circuit issued its...more
The new initiative promises standard settlements for qualifying self-reported violations.
On January 28, 2019, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19-04 announcing its 529 Plan...more
The action underscores the need for investment advisers and broker-dealers to maintain robust policies and controls when utilizing third-party contractors.
On May 27, 2016, the Securities and Exchange Commission (SEC)...more