SEC Actions

The SEC adopts Form PF amendments to require large private equity fund advisers to provide additional information to the SEC about the private equity funds ...

This is the DOE's second risk alert tied to the new IA ad rule

The SEC's Division of Investment Management shares its experiences with its new procedures for expedited reviews and provides tips to applicants

This 2023 DOE exam letter includes a focus on advertising, and other topics

RTW failed to disclose conflicts of interest, made statements that omitted material facts, and failed to adopt reasonably designed written policies and procedures regarding RTW ...

Sciens’ Compliance Manual did not mention any valuation techniques or methodologies applicable to Level 3 Investments, and further lacked procedures designed to promote consistency in ...

Several challenges exist to a smooth and orderly transition away from LIBOR and DOE encourages all firms to be aware of such issues

SCUSA contacted the Division of Enforcement upon uncovering off-channel communications potentially related to the business of its broker-dealer

HSI contacted the Division of Enforcement upon uncovering off-channel communications potentially related to the business of its broker-dealer. HSI had already initiated a review of ...

Pinnacle did not conduct sufficient periodic reviews of client advisory accounts to determine whether client accounts were being managed in accordance with their investment mandates