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Asset Management › Securities Violations

SEC Compliance Consultants, Inc. (SEC³)

October and November 2024 Regulatory Roundup

SEC Compliance Consultants, Inc. (SEC³) on

After its fiscal year-end frenzy in September, the SEC relaxed slightly, with no new rule-making and fewer enforcement actions. So, I took a break last month and combined the October and November Roundups. (You’re welcome.)...more

Bressler, Amery & Ross, P.C.

No Longer Hypothetical: SEC Marketing Rule Enforcement is Here

Bressler, Amery & Ross, P.C. on

Less than one year after the implementation deadline of the SEC’s amendments to Advisers Act Rule 206(4)-1 (the Marketing Rule), the SEC announced a series of enforcement actions involving alleged violations of the Marketing...more

Morgan Lewis

Common and Collective Investment Funds: SEC Action Warrants Attention but Offers Limited Guidance

Morgan Lewis on

A recent enforcement action (Proceeding) by the US Securities and Exchange Commission (SEC) against a state-chartered trust company (Trust Company) has attracted attention in the banking and asset management industries. ...more

Proskauer - The Capital Commitment

Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness

Proskauer - The Capital Commitment on

Asset managers commonly engage regulatory compliance consultants to aid them in addressing regulatory requirements and implementing compliance programs. The work of those compliance professionals can be drawn into SEC...more

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