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Professional Disciplinary Actions Code of Conduct

Dechert LLP

SFC Takes Enforcement Action Against Private Equity Firm, a Director and Investment Manager

Dechert LLP on

The Hong Kong Securities and Futures Commission (SFC) has announced that it reprimanded and fined a Hong Kong private equity firm, SEAVI Advent Ocean Private Equity Limited (PE Firm), for employing or appointing unlicensed...more

Sheppard Mullin Richter & Hampton LLP

“Financial Core” – A Dissident Writer’s Recourse

Amid the confusion and tensions of the WGA-ATA dispute over packaging fees and agency ties to affiliated production entities, more than 7,000 termination letters have been sent out to non-franchised agents who once...more

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