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Corporate Counsel CEOs Investment Adviser

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for June 2025

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine the following matters: • An SEC settlement with an ex-CEO...more

Foley & Lardner LLP

Dual-Hatted CEO and CCO Named Individually in SEC Settlement for Compliance Violations

Foley & Lardner LLP on

On December 5, 2022, the SEC filed a settled action against investment advisory firm Two Point Capital Management Inc. (the Firm) and its chief executive officer, who also served as the Firm’s chief compliance officer until...more

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