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Securities and Exchange Commission (SEC) › Negligence › Penalties

Snell & Wilmer

Atkins SEC Continues Negligence-Based Enforcement Under Advisers Act Rule 206(4)-8

Snell & Wilmer on

In 2007, the Securities and Exchange Commission (SEC of the Commission) adopted Advisers Act Rule 206(4)-8 prohibiting an investment adviser from making false or misleading statements to, or otherwise defrauding or deceiving,...more

Robins Kaplan LLP

Financial Daily Dose 11.04.2019 | Top Story: Feds Probe Under Armour Accounting Practices

Robins Kaplan LLP on

Federal authorities have been looking into Under Armour’s accounting practices for the better part of the past two years, a revelation that sent company shares reeling in premarket trading this morning....more

Broker-Dealer Compliance + Regulation

Double-Check the Math: Advisers Should Not Provide Clients With Performance Data Created by Other Investment Managers Without...

Broker-Dealer Compliance + Regulation on

In a series of enforcement actions this week, the SEC made it clear that investment advisers need to substantiate the performance records of investment management firms they recommend to their clients. In these cases,...more

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