Year: 2020

One of the key focuses of the Commission’s enforcement program has been retail investors and offering frauds. Frequently it is those investors who rush to purchase shares in the latest fad area only to find out that the investment is …

SEC Settles Digital Asset Case Read More »

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A Risk Alert was published by the the Office of Inspections and Examinations or OCIE, alerting Investment Advisers of managed private funds to key issues that have arisen in prior examinations. The Alert highlights a series of deficiencies, some of …

OCIE Risk Alert – An Aid to Proper Compliance Read More »

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