In recent years, the SEC has been conducting a nationwide and industry-wide “sweep” of investment advisory firms, pursuant to which it has opened investigations and brought enforcement actions against a multitude of...more
3/22/2022
/ Conflicts of Interest ,
Enforcement Actions ,
Failure To Disclose ,
Fiduciary Rule ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Regulation Best Interest ,
Revenue Sharing ,
Securities and Exchange Commission (SEC) ,
Transaction Fees
The SEC has, for many years, used broker-dealer and associated persons’ failure to create and maintain books and records as a basis for the imposition of serious penalties. In recent actions, it appears to be continuing—and...more
1/11/2022
/ Accounting ,
Auditors ,
Broker-Dealer ,
CFTC ,
Compliance ,
Derivatives ,
Enforcement Actions ,
Futures ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Policies and Procedures ,
Private Equity ,
Publicly-Traded Companies ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)