David Tutor

David Tutor

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SEC Enforcement Actions Reflect Expanding Focus on Advisers’ Policies and Procedures to Prevent Misuse of Material Nonpublic...

The Securities and Exchange Commission (SEC) recently brought settled enforcement actions against two registered investment advisers for failing to establish, maintain, and enforce written policies and procedures reasonably...more

12/4/2024  /  Compliance , Enforcement Actions , Investment Adviser , Investment Advisers Act of 1940 , Material Nonpublic Information , Policies and Procedures , Securities and Exchange Commission (SEC) , Securities Violations

Ongoing SEC Marketing Rule Enforcement Sweep Results in Charges Against Investment Advisers

On September 11, 2023, the Securities and Exchange Commission (SEC) charged and settled proceedings with nine registered investment advisers for misrepresenting hypothetical performance of advisory products in connection with...more

10/3/2023  /  Compliance , Enforcement Actions , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Securities and Exchange Commission (SEC)
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