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Securities and Exchange Commission (SEC) › Portfolio Companies › Fraud

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for June 2025

Morrison & Foerster LLP on

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

Proskauer - The Capital Commitment

SEC Overreach: Insurers Underwrite?

Proskauer - The Capital Commitment on

Implications of SEC attempt to curb indemnification for private fund managers - The SEC spent 2022 making multiple and sweeping proposals to amend rules under the Advisers Act, many of which have the ability to...more

Skadden, Arps, Slate, Meagher & Flom LLP

"SEC Charges Private Equity Fund Adviser as an Unregistered Broker"

Skadden, Arps, Slate, Meagher & Flom LLP on

On June 1, 2016, the Securities and Exchange Commission (the "SEC") accepted a settlement offer from a registered investment adviser of private equity funds, and its founder, principal and managing member. The settlement...more

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