News & Analysis as of

Securities and Exchange Commission (SEC) Investment Advisers Act of 1940 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

Latham & Watkins LLP

Liability Under the Federal Securities Laws for Media Personalities

Latham & Watkins LLP on

How statements in both traditional and new media outlets may catch the SEC’s attention. From music moguls and sports icons promoting cryptocurrencies and digital tokens,1 to reality television stars bringing down the price...more

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