Tag: advisers

Last week began and ended in the same way for the Commission’s Enforcement Division – with settled proceedings based on adviser conflicts built on false statements that disadvantaged clients. At the beginning of the week the Commission announced the settlement …

SEC Charges Another Adviser With Failing to Disclose Conflicts Read More »

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Undisclosed conflicts of interest have been a key focus of OCIE exams of investment advisers. Those undisclosed conflicts have resulted in a series of enforcement actions against advisers. The Commission’s most recent case involving an adviser who failed to disclose …

Legal Advice Not Enough for Adviser to Avoid SEC Sanctions Read More »

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