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2021 SEC Enforcement Results – Takeaways for Fund Managers

By Joshua M. Newville & Samuel J. Waldon on November 23, 2021

On November 18, 2021, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2021, and there are a few key takeaways for fund managers.

  • In spite of the continued headwinds posed by the global COVID-19 pandemic, the Commission brought 697 enforcement actions in FY 2021. The

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Posted in Enforcement, Regulation, SEC, Securities Law
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