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SEC Settles Charges with Adviser for Recordkeeping Violations and Staff Lays Out Factors Considered in Determining What Penalties to Recommend for Off-Channel Communications Violations | Seward & Kissel LLP

Who may be interested: Investment Advisers, Broker-Dealers - Quick Take: The SEC settled charges against an investment adviser for widespread recordkeeping deficiencies.

Sanjay wadhwaSeward kisselDivision of enforcementInvestment advisersDeputy directorDirector wadhwa

What Private Equity Firms Need to Know About the Ongoing SEC Investigation of Off-Channel Communications | Sheppard Mullin Richter & Hampton LLP

Over the last several years, the Securities and Exchange Commission (“SEC”) has been laser-focused on the use of so-called “off-channel communications” in the financial services.

Sanjay wadhwaGurbir grewalSheppard mullin richter hamptonExchange commissionSheppard mullin richterAdvisers actDirector wadhwaDirector gurbir grewal

Securities and Exchange Commission Cracks Down on Off Channel Com

Securities and Exchange Commission Cracks Down on Off Channel Com
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Gurbir grewalSanjay wadhwaExchange commissionAdvisers actDirector wadhwaDirector gurbir grewal

SEC Speaks 2024: In Defense of the Enforcement Division s Agenda | McGuireWoods LLP

On April 2 and 3, 2024, U.S. Securities and Exchange Commission Chair, Gary Gensler, Division of Enforcement Director, Gurbir Grewal, and other senior SEC officials convened at the SEC.

United statesGurbir grewalStacy bogertSanjay wadhwaGary genslerCreola kellyOlivia choeTejal shahCharlotte bufordSecurities exchangeSee pressCommission statementWhistleblower programSupreme courtSecurities exchange act ruleRelationship of cooperation to agency enforcement decisions

SEC Speaks 2022: Ongoing Efforts to Restore Public Trust, Aggressive Enforcement Agenda | McGuireWoods LLP

On Sept. 8 and 9, 2022, Securities and Exchange Commission Chairman Gary Gensler, Division of Enforcement Director Gurbir Grewal and senior officials from the Enforcement Division.

Kerry dingleSanjay wadhwaMichael conleyStacey bogertDavid lisitzaGurbir grewalOlivia choeSamuel waldonRebecca olsenDavid hirschGary genslerJay claytonCreola kellyUs courtDivision of enforcementExchange commission

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