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On September 9, 2022, the SEC announced settlements with nine SEC-registered investment advisers to private funds with respect to alleged violations of Rule 206(4)-2 under the...
The SEC Division of Examinations had previously indicated that compliance with the annual audit exemption would be an examination priority this year.
August 11, 2022- The Consumer Financial Protection Bureau (CFPB) confirmed in a circular that financial companies may be deemed to violate federal consumer financial...
On March 30, 2022, the U.S. Securities and Exchange Commission (the "Commission" or "SEC") proposed new rules and amendments regarding special purpose acquisition companies ("SPACs"), shell companies, and disclosure related to projections.
On March 30, 2022, the U.S. Securities and Exchange Commission proposed new rules and amendments regarding special purpose acquisition companies shell companies, and disclosure related to projections.