The Securities and Exchange Commission (“SEC”) released an annual summary, on November 15, 2022, of actions brought by the Division of Enforcement (“Division”) over fiscal year 2022 (“Enforcement Summary”), providing an...more
12/13/2022
/ Civil Monetary Penalty ,
Climate Change ,
Cryptoassets ,
Cybersecurity ,
Disclosure Requirements ,
Disgorgement ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Fraud ,
Penalties ,
Private Funds ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs) ,
Whistleblowers
The Supreme Court of the United States on March 4, 2014 held that employees of a privately-held mutual fund investment adviser are protected under a whistleblower provision enacted as part of the Sarbanes-Oxley Act of 2002...more