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Exempt Reporting Advisers Faced Significantly More SEC Enforcements In 2022 - Securities

The Securities and Exchange Commission (SEC) brought an unusually high number of enforcement actions against exempt reporting advisers in 2022 — that appears to be more than the prior three years.

New yorkUnited statesCity of new yorkSean wygovskyUniversity of californiaDivision of enforcementHighland capital partnersAlumni ventures groupHelikon investments ltdFormula growth ltdCorona associates capital managementCanaan managementSparklabs global ventures managementEnergy innovation capital managementExchange commissionBradway capital management

Exempt Reporting Advisers Faced Significantly More SEC Enforcements in 2022 | Goodwin

The Securities and Exchange Commission (SEC) brought an unusually high number of enforcement actions against exempt reporting advisers in 2022 that appears to be more than the prior.

New yorkUnited statesCity of new yorkSean wygovskyDivision of enforcementHighland capital partnersAlumni ventures groupFormula growth ltdHelikon investments ltdCorona associates capital managementRegents of the university californiaCanaan managementSparklabs global ventures managementEnergy innovation capital managementExchange commissionBradway capital management

Private Funds Remain a Top Priority for the SEC in 2022: A Review of Recent Cases and Their Implications for Private Fund Managers | Akin Gump Strauss Hauer & Feld LLP

Late last year, Securities and Exchange Commission (SEC) Chair Gary Gensler warned private fund managers that they should be prepared for increased regulatory scrutiny. Shortly.

New yorkUnited statesHesterm peirceHester peirceGurbir grewalIshan wahiLloydd reedChris prenticeMichael collinsLloyd reedGary genslerBny mellon investment adviser incAkin gump strauss hauer feldIshan wahi at coinbase global incToews corporationDivision of examinations

Regulatory Update and Recent SEC Actions - October 2022 | Blank Rome LLP

REGULATORY UPDATES - SEC Announces Leadership Changes - Anthony (“Tony”) C. Thompson was appointed to a second term as a board member of the Public Company.

United statesHong kongCommonwealth of massachusettsWest virginiaAnthony tonyc thompsonGary genslerGarry genslerToews corporationUs courtCorp finGlobal investment management firmChina securities regulatory commissionOffice of credit ratingsFinancial stability oversight councilNational securities association membershipOffice of crypto assets

Regulatory Update and Recent SEC Actions

Anthony (“Tony”) C. Thompson was appointed to a second term as a board member of the Public Company Accounting Oversight Board (“PCAOB”), which will…

United statesHong kongCommonwealth of massachusettsWest virginiaAnthony tonyc thompsonGary genslerGarry genslerToews corporationUs courtCorp finGlobal investment management firmChina securities regulatory commissionOffice of credit ratingsFinancial stability oversight councilNational securities association membershipOffice of crypto assets

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