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SEC Releases
SEC Enforcement Results for FY 2023 | Key Stats and Trends
November 15, 2023SEC Releases Introduction On November 14th, the SEC released their enforcement results for the Fiscal Year 2023. The amount of enforcements has increased from 2022.[...]
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SEC Releases
Failure to Provide Proper Disclosures Leads to $2.5 Million Penalty
November 13, 2023SEC Releases Brief Introduction Recently, the SEC charged a well-known Investment Adviser for failures involving the description of investments within a Publicly Traded[...]
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SEC Releases
Importance of Proactive Compliance | SEC’s Gurbir Grewal Reacts
November 02, 2023SEC Releases Brief Introduction On October 24th, SEC Director of the Division of Enforcement, Gurbir Grewal, spoke to the New York City Bar[...]
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SEC Releases
SEC Chair, Gary Gensler, Fiscal Year 2023 Takeaways
October 31, 2023SEC Releases Brief Introduction On October 25th, SEC Chair, Gary Gensler, spoke at the 2023 Securities Enforcement Forum. Labeling the SEC as “partners of[...]
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SEC Releases
Commissioner Uyeda Key Takeaways from the NSCP Conference
October 26, 2023SEC Releases Introduction SEC Commissioner, Mark Uyeda, spoke at the National Society of Compliance Professionals (“NSCP”) Conference recently about various topics. Although[...]
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SEC Releases
2024 SEC Division of Examinations Priorities | Key Takeaways
October 17, 2023SEC Releases Introduction On Monday, October 16th, the SEC Division of Examinations released their examination priorities for 2024. To no surprise,[...]
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SEC Releases
Duty of Care and Disclosure Violations | $1.3 Million SEC Charge
October 13, 2023SEC Releases Introduction On October 10th, the SEC charged an RIA for breaching its fiduciary duties. The Firm failed to properly disclosure[...]
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SEC Releases
Modernization of Beneficial Ownership Reporting | SEC Adopts Rule Amendments
October 12, 2023SEC Releases Brief Introduction On October 10th, the SEC adopted rule amendments related to beneficial ownership reporting requirements. The amendments to Section 13(d) and[...]
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SEC Releases
Unregistered Broker Activities | RIA Charged $821 Thousand
October 09, 2023SEC Releases Brief Introduction An investment adviser was charged in September by the SEC for accepting compensation for brokerage services for its advisory[...]
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SEC Releases
10 Firms Charged $79 Million for Recordkeeping Failures
October 02, 2023SEC Releases Brief Introduction The SEC announced multiple charges on Friday, September 29th, for violations of recordkeeping requirements. The following type of Firms[...]
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SEC Releases
Material Misstatements Lead to SEC Charge | Marketing Rule
September 26, 2023SEC Releases Brief Introduction The SEC remains active towards the Marketing Rule and has charged another Registered Investment Adviser (“RIA”) with violations[...]
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SEC Releases
Private Equity Infrastructure RIA Charged for Breach of Duty
September 25, 2023SEC Releases Brief Introduction Recently, the SEC charged a Private Equity Registered Investment Adviser (“RIA”) more than $1.6 Million for failures involving their fiduciary duty[...]
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