SEC Settles Enforcement Action Regarding Investment Adviser's ...

SEC Charges Nine Investment Advisers in Ongoing Sweep into ...

SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations · Abacus Planning Group Inc. · AZ Apice Capital Management ...

SEC Brings Settled Action Charging Compliance Failures in Trade ...

The SEC's order against First Allied and Cetera found that each violated Sections 206(2) and 206(4) of the Investment Advisers of 1940 Act and ...

FY2024 in Review: SEC Enforcement Actions Against Investment ...

In its 2024 fiscal year, the U.S. Securities and Exchange Commission brought over 130 enforcement actions against investment advisers and their ...

Recent SEC enforcement action integrating affiliated advisers | BCLP

A recent Securities and Exchange Commission (“SEC”) settled enforcement action serves as an excellent reminder of the risk of operational ...

SEC Charges Invesco Advisers for Making Misleading Statements ...

The Atlanta-based registered investment adviser agreed to pay a $17.5 million civil penalty to settle the SEC's charges. According to the SEC's ...

SEC Settles Enforcement Proceedings Against Adviser Regarding ...

The pay-to-play rule prohibits registered investment advisers from providing investment advisory services for compensation to a government ...

SEC Enforcement Updates – Post-PFAR Developments

The SEC charged ClearPath for violations of Section 206(2) of the Advisers Act (anti-fraud) because its private fund LPAs and other governing ...

SEC Settles Enforcement Proceedings Against Adviser for Allegedly ...

The SEC also alleged that the adviser failed to adopt written policies and procedures establishing a due diligence process to support the ...

US SEC settlement demonstrates the risks to investment advisers of ...

On May 23, 2022, the SEC charged BNY Mellon Investment Adviser, Inc ... It also comes on the heels of another recent SEC enforcement action concerning ...

Eleven Firms to Pay More Than $88 Million Combined to Settle ...

The firms were each charged with violating certain recordkeeping provisions of the Securities Exchange Act or the Investment Advisers Act or ...

Continued SEC Enforcement Actions Relating to Off Channel ...

The SEC recently announced that it settled charges against twelve firms, comprising of broker-dealers, investment advisers, and one dually ...

Crypto-Focused Private Fund Adviser Settles with U.S. SEC for ...

This is the first SEC enforcement action involving Custody Rule violations related to digital assets, an issue that has long been, and will ...

SEC Settles First Off-Channel Communications Enforcement Action ...

This is also the first time the SEC has charged an investment adviser for failing to adopt and implement written policies and procedures ...

Significant Investment Adviser Regulatory Developments in 2024

On March 18, 2024, the SEC settled two enforcement actions with registered investment advisers involving false and misleading claims about ...

Mid-Year Enforcement Update: SEC's Continued Focus on Private ...

In two recent SEC enforcement actions announced in April 2024, two investment advisers faced charges for making false statements regarding ...

SEC Announces First Off-Channel Communications Enforcement ...

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) its first enforcement action against a registered investment adviser ...

SEC Charges Five Investment Advisers for Marketing Rule Violations

All five firms have agreed to settle the SEC's charges and to pay $200,000 in combined penalties. The five advisory firms are: GeaSphere LLC ...

SEC Settles Charges Against Private-Equity Firm for Alleged ...

According to the SEC's order, on numerous occasions senior personnel of the Adviser disclosed MNPI about mergers and acquisitions of public ...

SEC Orders Investment Adviser to Pay Over $6 Million and Return ...

August 12, 2024: The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser ...

SEC Settles Enforcement Action Against Mutual Fund Adviser ...

ESG factors or considerations were not listed among the principal investment strategies of the funds and the prospectuses did not include ...