Tag: conflicts

This Week In Securities Litigation (Week ending September 29, 2017)

Cybersecurity was front and center this week, with SEC Chairman Jay Clayton being grilled by a Senate Committee about the breach at the agency. The Chairman testified that the breach occurred last year and that investigations are underway. Mr. Clayton

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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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