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Securities and Exchange Commission (SEC) › Investment Adviser › Personal Liability

Proskauer Rose LLP

SEC Cites Falsified Compliance Records in Two Recent SEC Settlements with CCOs

Proskauer Rose LLP on

Two SEC enforcement actions from earlier this month, each including charges against a firm’s Chief Compliance Officer in their personal capacity, underscore the importance of maintaining accurate records and upholding...more

BakerHostetler

Top Regulators Speak at the New York City Bar Association’s Compliance Institute

BakerHostetler on

In response to compliance officer personal liability concerns and increasing SEC regulations, Commissioner Peirce proposed the creation of a compliance advisory committee, which would bring together SEC regulators and...more

Skadden, Arps, Slate, Meagher & Flom LLP

Skadden's 2019 Insights: Political Law: What to Consider When Providing Investment Fund Services to US State and Local Government...

Skadden, Arps, Slate, Meagher & Flom LLP on

With heightened attention to investment and depository rules as well as increased enforcement of federal and state pay-to-play rules, registered investment advisers (RIAs) and broker-dealers should address the unique legal...more

Stinson - Corporate & Securities Law Blog

SEC Distances Itself From Janus and Adopts Expansive View of Rule 10b-5(a) and (c)

Stinson - Corporate & Securities Law Blog on

The SEC recently rendered an opinion in an enforcement action against two persons, John P. Flannery and James D. Hopkins, associated with an investment adviser. In so doing, it sought to limit the Supreme Court’s holding in...more

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