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Asset Management › Securities Violations › Enforcement Actions

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

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