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
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