News & Analysis as of

Asset Management › Securities Violations

Bressler, Amery & Ross, P.C.

No Longer Hypothetical: SEC Marketing Rule Enforcement is Here

Bressler, Amery & Ross, P.C. on

Less than one year after the implementation deadline of the SEC’s amendments to Advisers Act Rule 206(4)-1 (the Marketing Rule), the SEC announced a series of enforcement actions involving alleged violations of the Marketing...more

Morgan Lewis

Common and Collective Investment Funds: SEC Action Warrants Attention but Offers Limited Guidance

Morgan Lewis on

A recent enforcement action (Proceeding) by the US Securities and Exchange Commission (SEC) against a state-chartered trust company (Trust Company) has attracted attention in the banking and asset management industries. ...more

Proskauer - The Capital Commitment

Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness

Proskauer - The Capital Commitment on

Asset managers commonly engage regulatory compliance consultants to aid them in addressing regulatory requirements and implementing compliance programs. The work of those compliance professionals can be drawn into SEC...more

Dechert LLP

SEC Enforcement Staff Takes Aim at the BDC Space in Two Recent Actions

Dechert LLP on

In December 2018, the SEC announced two enforcement actions involving business development companies (BDCs) – one against Fifth Street Management, LLC, the former external registered investment adviser to two BDCs, and the...more

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