Year: 2020

Co-Director of Enforcement Steven Peikin announced his resignation. Mr. Peikin joined the staff shortly after Chairman Clayton, from Sullivan and Cromwell. Consideration is being given to again directing that audit firms for foreign issues make available their audit work papers …

This Week In Securities Litigation (Week of August 10, 2020) Read More »

Investment advisers, as fiduciaries, are required to disclose material conflicts of interest. Those disclosures should be incorporated into their brochure – Part II of Form ADV. Those obligations, and the repeated failure of advisers to properly disclose material conflicts, are …

SEC Sanctions Two Advisers Re Undisclosed Conflicts Read More »

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