Investment Advisers

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The rapid transformation of markets and business models due to technology is a pressing concern in chairman's view
"Also concerning is the Commission’s decision to stretch the law to punish a company that was the victim of a cyberattack. While an enforcement action ...
SEC cited misleading disclosures tied to work with activist short publishers who issued articles presenting bearish views of target securities
"One classic government failure is to seek to influence capital flows in the 'right' direction"
SEC Commissioner Lizarraga
"It has been well documented that in the lead up to the financial crisis, pay structures often encouraged big bets that maximized short-term profits but ...
Two female programmers working on new project.They working late at night at the office.
The "threat actor was able to utilize deceptive hacking techniques to install encryption software on certain" of the adviser's "computers (mostly virtual machines) and exfiltrated ...
"The SEC staff routinely seeks international assistance and the assistance that many of you have provided to us has been invaluable. In turn, the SEC ...
Business statistics concept. Marketing. Analysis. Management strategy.
When advertising the performance of a private fund, the adviser presented performance returns that were experienced by a single investor. These returns did not constitute ...
SEC Chairman Gary Gensler
"These additional resources are the minimum just for the [Exam] Division to stay abreast of the growth in market participants and make key investments to ...
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The SEC gave 18 months for mutual fund and ETF advisers to get ready to comply with its new rules for tailored shareholder reports. Given ...
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