November 19, 2024 SEC Charges Robo-Adviser with Marketing Rule Violations November 12, 2024 SEC Staff Issues Risk Alert Regarding Examination Process for Registered Funds November 5, 2024 Paul Miller & Casey Jennings author article on privacy & cybersecurity considerations for investment advisers for IAA October 29, 2024 Paul Miller & Casey Jennings author article on privacy & cybersecurity considerations for investment advisers for IAA October 24, 2024 SEC Section 13 Enforcement Sweep October 8, 2024 SEC Settles Charges with Adviser for Fraud Involving Overvaluation of CMOs September 12, 2024 Department of the Treasury Releases New AML/CFT Rule for Investment Advisers September 6, 2024 SEC Charges Investment Adviser with MNPI-Related Compliance Failures August 22, 2024 SEC Fines Twenty-Six Firms for Recordkeeping Failures in Latest Off-Channel Communications Sweep May 28, 2024 SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers May 23, 2024 Partner Bradley Fay Interviewed in Hedge Fund Law Report Article Titled, “Impact of Amendments to QPAM Exemption on ERISA Funds” April 16, 2024 SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees April 7, 2024 SEC Charges Five Advisers with Violations of the Marketing Rule; SEC Staff Releases Risk Alert on Marketing Rule Compliance April 24, 2024 SEC Settles Charges with Adviser for Recordkeeping Violations and Staff Lays Out Factors Considered in Determining What Penalties to Recommend for Off-Channel Communications Violations April 18, 2024 SEC Releases Materials on T+1 Settlement Cycle Adoption in Advance of May Compliance Date Load more