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Asset Management › Enforcement Actions › Investigations

Carlton Fields

SEC Engages in “Targeted, Common-Sense” Reorganization

Carlton Fields on

It has been reported that the Securities and Exchange Commission (SEC) recently reduced head count by an estimated 12% due to the Trump administration’s effort to rapidly downsize the federal government. Particularly hard-hit...more

A&O Shearman

Proposed action against Crispin Odey: A different approach to tackling non-financial misconduct

A&O Shearman on

The UK Financial Conduct Authority (FCA) has published the full details of its proposal to fine and ban the fund manager, Crispin Odey, for lacking integrity. But the FCA’s proposed action against Mr Odey does not rely on his...more

Proskauer - The Capital Commitment

Messaging Missteps: SEC’s Increasing Focus on Off-Channel Communications

Proskauer - The Capital Commitment on

The SEC’s Enforcement Division is conducting a sweep investigation of large investment advisers regarding their employees’ use of “off-channel” communications. The sweep, which has been widely reported in the press, focuses...more

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