Investment advisers are among the most heavily regulated professionals. They are subject to fiduciary duties, the anti-fraud sections, requirements to keep certain books and records and have an obligation to properly implement compliance programs. Despite these regulations, cases against investment …
Month: July 2020
This Week In Securities Litigation (Week of July 20, 2020)
The Commission scheduled another virtual outreach meeting this week. The meeting will focus on the municipal markets. In addition, another whistleblower award was announced. Enforcement continued to file new cases, consistent with its approach over the last several weeks. The …
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