On November 22, 2024, the Securities and Exchange Commission (the “SEC”) published its enforcement results for fiscal year of 2024. The report shows a mixed result. The SEC only brought 583 actions in FY 2024, a 26% decrease...more
On October 21, 2024, the Securities and Exchange Commission (“SEC”)’s Division of Examinations (the “Division”) released its 2025 examination priorities....more
10/30/2024
/ Asset Management ,
Broker-Dealer ,
Compliance ,
Cryptocurrency ,
Cybersecurity ,
ETFs ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Private Funds ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
On June 18, 2024, the Securities and Exchange Commission (“SEC”) announced a $2.1 million civil penalty settlement of charges against R.R. Donnelley & Sons (“RRD”), a global provider of business communications services and...more
Under the leadership of SEC Chairman Gary Gensler and Director of Enforcement Gurbir Grewal, the SEC has consistently prioritized compliance with books and recordkeeping obligations for registered broker-dealers, especially...more
On September 15, 2022, Deputy Attorney General (“DAG”) Lisa Monaco announced a series of changes to the United States Department of Justice’s (the “Department” or “DOJ”) corporate enforcement policies. This follows a prior...more