Adam Goldman

Adam Goldman

Vedder Price

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SEC Settles Enforcement Proceedings Against Quantitative Hedge Fund Manager for Alleged Algorithmic Model Vulnerabilities

On January 16, 2025, the SEC announced the settlement of administrative proceedings brought against a hedge fund manager that used algorithmic investment models to provide investment advice to its private fund and separately...more

2/28/2025  /  Cybersecurity , Enforcement Actions , Fiduciary Duty , Investment Adviser , Investment Management , Risk Management , Rule 21F-17 , Securities and Exchange Commission (SEC) , Securities Regulation , Whistleblowers

Investment Services Regulatory Update - September 2019

New Rules, Proposed Rules, Guidance and Alerts - GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Improving Fund Principal Risks Disclosure - On September 9, 2019, the Disclosure Review and Accounting Office...more

10/2/2019  /  Best Interest Standard , Broker-Dealer , Disclosure Requirements , Enforcement Actions , Financial Regulatory Reform , Financial Services Industry , Investment Adviser , Investment Management , Securities and Exchange Commission (SEC) , Securities Transactions
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