Tag Archives: Investment Advisers Act
Asserting Reliance on Compliance Consultants as a Defense: Admissibility and Effectiveness
Private Equity and Cybersecurity: A Guide to Preparing for and Responding to a Breach

Who Foots the Bill? SEC Cracks Down on Operating Partner Reimbursement Disclosures
When is a Cross Trade a Principal Trade? SEC Brings Enforcement Action Against a Fund Manager That Appears not to Have Understood

SEC clamps down on Custody Rule
SEC Enforcers Continue to Focus on Undisclosed Fees
SEC Releases FY 2019 Enforcement Results: Increases in Investment Adviser Actions and Maintained Focus on Individual Accountability
