Year: 2017

Legal Advice Not Enough for Adviser to Avoid SEC Sanctions

Undisclosed conflicts of interest have been a key focus of OCIE exams of investment advisers. Those undisclosed conflicts have resulted in a series of enforcement actions against advisers. The Commission’s most recent case involving an adviser who failed to disclose

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This Week In Securities Litigation (Week ending September 22, 2017)

The Commission became a cybersecurity headline this week, not for brining a case or writing a rule in the area but for an intrusion into its systems. The Chairman issued a statement on the subject. The Commission resolved an FCPA

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