In 2024, private funds continued to be a major focus for the US Securities and Exchange Commission (SEC), with an active docket of enforcement cases and rulemaking efforts. Although we expect 2025 to include a continued...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from October 2024. In October 2024: As discussed in a recent LawFlash, the US Securities and...more
On March 18, the US Securities and Exchange Commission (SEC) announced the first AI-related settled actions against two investment advisers—Delphia (USA) Inc. and Global Predictions Inc.—for making false and misleading...more