Year: 2020

The exam priorities of the SEC’s Office of Inspections and Compliance or OCIE, announced on January 7, 2020, are a key priority for every investment advisor and investment company. Those priorities are key not just for those who may be …

SEC Investment Adviser and Investment Company Exam Priorities Read More »

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As the new decade unfolds the Commission’s Enforcement Division continues to focus on offering fraud actions and, in particular, a claimed lending program called the Merchant Cash Advance. That program was operated by 1 Global Capital LLC supposedly for the …

SEC Second Action Based on Merchant Cash Advance Scheme Read More »

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