Tag: fees

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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The Commission became a cybersecurity headline this week, not for brining a case or writing a rule in the area but for an intrusion into its systems. The Chairman issued a statement on the subject. The Commission resolved an FCPA …

This Week In Securities Litigation (Week ending September 22, 2017) Read More »

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