SEC Settlement Reflects Continued Scrutiny Regarding MNPI, Advertisements And Investor Communications -

On December 26, 2023, the U.S. Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser, OEP Capital Advisors, L.P. (OEP).

Related Keywords

,Fund Risk ,Procedures Related ,Relevant Compliance Policies ,Unreviewed Advertisements ,Enforce Its Compliance ,Investment Advisers Act ,Mondaq ,Sec Settlement Reflects Continued Scrutiny Regarding Mnpi ,Dvertisements And Investor Communications ,Compliance ,Corporate Commercial Law ,Securities ,