In Robare, the D.C. Circuit clarifies the negligence and willfulness standards under Sections 206 and 207 of the Act.
On April 30, 2019, the United States Court of Appeals for the District of Columbia Circuit issued its...more
The SEC signals continued scrutiny of asset management firms for all manner of violations — including technical violations first identified in exams.
On February 26, Julie Riewe, the Co-Chief of the SEC’s Asset...more