Year: 2019

The retail investor focus of SEC Enforcement has accelerated the recent trend of filing actions against investment advisers. Indeed, the number actions involving advisers has steadily increased to the point where it may eclipse those of all other categories. That …

SEC — Advisor Overcharged Clients Read More »

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Corporate compliance is a critical issue for any firm. The DOJ and the SEC have each made it clear, for example, that compliance can have a significant impact on the resolution of investigations and possible charges. While neither the DOJ …

DOJ, Corporate Compliance, Deference and Law Enforcement Read More »

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