Tag: conflicts

The Commission created a new task force within OCIE this week to assess emerging risk. It is portrayed as a compliment to the current inspection program, apparently designed to try and get ahead of the curve on new issues that …

This Week In Securities Litigation (Week of August 3, 2020) Read More »

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Investment advisers are among the most heavily regulated professionals. They are subject to fiduciary duties, the anti-fraud sections, requirements to keep certain books and records and have an obligation to properly implement compliance programs. Despite these regulations, cases against investment …

SEC, USAO Charge Adviser With Fraud Read More »

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