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SEC Settles Charges with Adviser for Recordkeeping Violations and Staff Lays Out Factors Considered in Determining What Penalties to Recommend for Off-Channel Communications Violations | Seward & Kissel LLP

Who may be interested: Investment Advisers, Broker-Dealers - Quick Take: The SEC settled charges against an investment adviser for widespread recordkeeping deficiencies...

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WhatsApp For Registered Investment Advisers? A New SEC Enforcement Action, That's What - Securities

On April 3, 2024, the US Securities and Exchange Commission ("SEC") brought its first enforcement action against a "stand-alone" SEC registered investment adviser...

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SEC Speaks Conference 2024 - Securities

The SEC (U.S. Securities and Exchange Commission) recently hosted the 2024 SEC Speaks conference in Washington, DC. During the event, SEC leaders, including the Chair, commissioners, and senior staffers...

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What Private Equity Firms Need to Know About the Ongoing SEC Investigation of "Off-Channel" Communications | Sheppard Mullin Richter & Hampton LLP

Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services...

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WhatsApp for Registered Investment Advisers? A New SEC Enforcement Action, That's What | Mayer Brown

On April 3, 2024, the US Securities and Exchange Commission (“SEC”) brought its first enforcement action against a “stand-alone” SEC registered investment adviser (“RIA”) for violations...

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Securities and Exchange Commission Cracks Down on Off Channel Com

Securities and Exchange Commission Cracks Down on Off Channel Com
natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.

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SEC Speaks Conference 2024 | Goodwin

The SEC (U.S. Securities and Exchange Commission) recently hosted the 2024 SEC Speaks conference in Washington, DC. During the event, SEC leaders, including the Chair, commissioners,...

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SEC Speaks 2024: In Defense of the Enforcement Division's Agenda | McGuireWoods LLP

On April 2 and 3, 2024, U.S. Securities and Exchange Commission Chair, Gary Gensler, Division of Enforcement Director, Gurbir Grewal, and other senior SEC officials convened at the SEC...

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SEC Settlement Highlights Continued Scrutiny of Off-Channel Communications | Lowenstein Sandler LLP

SEC Settlement Highlights Continued Scrutiny of Off-Channel Communications | Lowenstein Sandler LLP
jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.

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SEC Reaffirms Importance of Self-Reporting and Cooperation, but Benefits Remain Ambiguous | Jones Day

Recently, a senior officer from the SEC's Division of Enforcement defended the penalties the Commission has levied on firms for failing to capture and retain their employees'...

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Live Breaking News & Updates on Sanjay wadhwa

Who may be interested: Investment Advisers, Broker-Dealers - Quick Take: The SEC settled charges against an investment adviser for widespread recordkeeping deficiencies...Sanjay-wadhwa , Seward-kissel , Division-of-enforcement , Investment-advisers , Deputy-director , Director-wadhwa ,

Recently, a senior officer from the SEC's Division of Enforcement defended the penalties the Commission has levied on firms for failing to capture and retain their employees'...Sanjay-wadhwa , Division-of-enforcement , Enforcement-division , Deputy-director-sanjay-wadhwa ,

Who may be interested: Investment Advisers, Broker-Dealers - Quick Take: The SEC settled charges against an investment adviser for widespread recordkeeping deficiencies...

Sanjay-wadhwa , Seward-kissel , Division-of-enforcement , Investment-advisers , Deputy-director , Director-wadhwa ,

Recently, a senior officer from the SEC's Division of Enforcement defended the penalties the Commission has levied on firms for failing to capture and retain their employees'...

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