SEC Announces First Off-Channel Communications Enforcement Action Against A Standalone Private Fund Manager - Securities

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced its first enforcement action against a registered investment adviser (RIA) with no ties to a broker-dealer regarding so-called "off-channel" communications.

Related Keywords

,Firm Also Did Not Maintain Required Books ,Firm Did Not ,Securities Exchange ,Exchange Commission ,Securities Exchange Act ,Investment Advisers Act ,Advisers Act ,Exchange Act ,Firm Did Not Follow ,Securities Trading ,Independent Compliance ,Mondaq ,Sec Announces First Off Channel Communications Enforcement Action Againsta Standalone Private Fund Manager ,Compliance ,Corporate Commercial Law ,Corporate And Company Law ,Securities ,Finance And Banking ,Financial Services ,Fund Management Reits ,