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Jim Lundy

ID: 1b83db0f-2619-30fb-68c4

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Organization: Faegre Drinker Biddle & Reath

SEC Examinations 2022 Priorities: Reg BI, ESG, Private Funds, Information Security & Operational Resiliency, and Crypto

Enforcement Highlights · March 31, 2022

FINRA Wades into the Controversial Deep-End of CCO Supervisory Liability

Enforcement Highlights · March 29, 2022

The SEC Sues Investment Advisory Firm in Connection with Alleged Failure to Disclose Revenue Sharing and Other Financial Conflicts, as Well as Converting Clients to Wrap Accounts Without Considering Whether it is in Clients’ Best Interests

Enforcement Highlights · March 22, 2022

SEC Charges Texas School District and Former CFO with Fraud Related to Bond

Enforcement Highlights · March 21, 2022

Cryptocurrency Exchange Founders Plead Guilty to Bank Secrecy Act Violations

Enforcement Highlights · March 3, 2022

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