Enforcement Matters

  • Improper Calculation of Client Advisory Fees Results in Enforcement Action

Non-Enforcement Matters

  • Cybersecurity Is a Top Concern
  • Private Funds to Be Subject of New SEC Dedicated Examination Unit
  • SEC Issues Guidance on Social Media and the Testimonial Rule
  • Mutual Fund May Not Exclude Socially Responsible Shareholder Proposal From Its Proxy Statement