SEC Cracks Down on Retirement Fund Advisers’ Undisclosed Compensation and Conflicts

August 11, 2020

SEC Releases Risk Alert Identifying Common Private Equity and Hedge Fund Compliance Deficiencies

July 1, 2020

Fund Adviser Receives $1 Million Penalty For Alleged Performance Misstatements in Private Fund Marketing Material

April 28, 2020

When is a Cross Trade a Principal Trade? SEC Brings Enforcement Action Against a Fund Manager That Appears not to Have Understood

March 18, 2020

U.S. Supreme Court Denies Bid to Review Dismissal of Challenge to Pay-To-Play Rule

February 27, 2020

SEC clamps down on Custody Rule

December 11, 2019

SEC Announces New Approach to Disqualification Waivers

July 8, 2019

SEC Extends Registration Requirements for Investment Companies and Broker Dealers to ICOs and other Digital Assets

September 25, 2018

Crypto Crackdown – SEC Imposes Broker-Dealer and Investment Company Registration Provisions on Token Traders and a Crypto Fund

September 17, 2018

SEC Staff Issues Risk Alert on the Six Most Frequent Fee and Expense Compliance Issues

April 19, 2018