Yesterday the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2022, and there are a few key takeaways for fund managers. The Commission.
SEC Division of Enforcement announced Enforcement Results for Fiscal Year 2022 with a few key takeaways for fund managers: Commission brought 760 enforcement actions in FY 2022, set record on disgorgement and penalties, took ongoing action against private fund advisers.
November 15, 2022- The U.S. Senate Committee on Banking, Housing, and Urban Affairs held a hearing entitled, "Oversight of Financial Regulators: A Strong Banking and Credit.
Federal and state regulators are increasingly pursuing enforcement actions against companies and individuals that engage in activities related to securities. In 2021, the U.S Securities.
On November 18, 2021, the Securities and Exchange Commission (the “Commission”) released its Enforcement Results for fiscal year (“FY”) 2021, which spans from October 1, 2020 to.