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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.

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SEC Announces First Off-Channel Communications Enforcement Action Against a Standalone Private Fund Manager | Akin Gump Strauss Hauer & Feld LLP

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.

Firm did notExchange commissionFirm also did not maintain required booksAkin gump strauss hauer feldSecurities exchangeDivision of examinationsAkin gump strauss hauerSecurities exchange actInvestment advisers actAdvisers actExchange actFirm did not followSecurities tradingIndependent compliance

Rusové protáhli legendu SSSR po 56 letech nejnovější emisní normou, dál může do EU

Rusové protáhli legendu SSSR po 56 letech nejnovější emisní normou, dál může do EU
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Ivan Gabal v totálním varu: Ruskou ambasádu poslat domů Ukrajince vyzbrojit Okamura, velezrada, zakázat! Klaus a Zeman

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