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Fraud › Transparency › Investment Adviser

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Ropes & Gray LLP

SEC Speaks 2025: Key Takeaways from Division of Enforcement Panels

Ropes & Gray LLP on

The SEC’s Division of Enforcement intends to remain a “cop on the beat,” and will refocus on traditional core enforcement areas, such as insider trading, accounting and disclosure fraud, market manipulation, and breaches of...more

Pillsbury Winthrop Shaw Pittman LLP

AI and the “G” in ESG

Pillsbury Winthrop Shaw Pittman LLP on

As artificial intelligence (AI) expands into virtually every industry, companies should consider AI’s potential impacts on corporate governance and internal controls. Companies should integrate AI thoughtfully to ensure...more

ArentFox Schiff

NYAG Proposition of Digital Assets Legislation

ArentFox Schiff on

On May 5, 2023, New York Attorney General Letitia James announced a landmark bill — the Crypto Regulation, Protection, Transparency, and Oversight (CRPTO) Act — that, if passed, would dramatically tighten regulation on...more

Proskauer - Corporate Defense and Disputes

SEC Examination Priorities in 2015 to Focus on Transparency Issues and the Early Detection of Potential Fraudulent or Other...

Proskauer - Corporate Defense and Disputes on

On January 13, 2015, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its 2015 examination priorities for investment advisers, broker-dealers and transfer agents. These priorities emphasize the...more

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