Month: November 2020

Investment advisers have been a key focus of SEC Enforcement in recent year. Beginning several years ago the number of cases brought each year involving advisers began to climb. At the time the leading category of actions was typically corporate …

Adviser Settles and is Barred For Fraudulent Client Investments Read More »

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The Commission’s Office of Compliance Inspections and Examinations or OCIE issued a Risk Alert on November 9, 2020 (here) centered on questions keyed to supervision and compliance in the context of multiple branch advisories. The alert is a combination of …

OCIE Observations on Supervision and Compliance for Branch Offices Read More »

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