Tag: investment advisers

Investment advisers are a continuing focus of SEC Enforcement. During the last government fiscal year actions involving investment advisers and firms were the second largest category of cases. Indeed, the trend in recent years has reflected increasing numbers of actions …

SEC Files Another Action Against an Advisor Read More »

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The Commission’s Office of Compliance Inspections and Examinations or OCIE announced its 2019 Examination Priorities just before Christmas and the current Government partial-shutdown (here). While the inspection program is currently at a stand-still, at some point in the near future …

The 2019 OCIE National Exam Program Read More »

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