OCIE Issues Risk Alert on Common Deficiencies Observed in Adviser Compliance Programs

December 14, 2020

SEC Announces 2020 National Compliance Outreach Seminar for Investment Companies and Investment Advisers

October 29, 2020

Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness

October 15, 2020

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