Christopher Harvey

Christopher Harvey

Dechert LLP

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Latest Posts › Broker-Dealer


SEC Charges Private Equity Adviser for Unregistered Brokerage Activity

The U.S. Securities and Exchange Commission (SEC) on June 1, 2016 announced a settled enforcement action against a private equity fund manager (Adviser) for acting as a broker-dealer without registering. The case is...more

6/15/2016 - Acquisitions Broker-Dealer Disgorgement Enforcement Actions Investment Adviser Investment Advisers Act of 1940 Mergers Portfolio Companies Private Equity Funds Sanctions SEC Securities Exchange Act Unregistered Brokers

SEC and CFTC Issue Identity Theft Red Flags Rules Applicable to Financial Institutions and Creditors

The SEC and CFTC recently issued joint Identity Theft Red Flags Rules (the “Rules”), which are rules and guidelines requiring certain financial institutions worldwide to adopt comprehensive data security programs to detect...more

4/30/2013 - Broker-Dealer CFTC CPO Data Protection FCMs FCRA Identity Theft Investment Adviser Red Flags Rule SEC

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