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2024 SEC Division of Examinations Priorities Summary | Venable LLP

The SEC’s Division of Examinations got a head start this fiscal year, announcing its 2024 Examination Priorities (2024 Priorities) at the beginning of the fiscal year for the first. ....

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Slew of Recent SEC Enforcement Actions: Guidance for Registered Investment Advisers | Lowenstein Sandler LLP

On September 5, the U.S. Securities and Exchange Commission (SEC) announced enforcement actions against five investment advisers for violating Rule 206(4)-2 (the Custody Rule) and Rule. ....

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Private funds radar - October 2023

The US regulatory scene for private capital and related funds remains very active. For example, on 11 September 2023, the SEC announced charges… ....

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Regulatory Update and Recent SEC Actions October 2023

Regulatory Update and Recent SEC Actions October 2023
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Marketing Rule Update: Recent Risk Alert And SEC Orders - Advertising, Marketing & Branding

The Marketing Rule has been in effect since November 4, 2022, and it continues to raise difficult and nuanced interpretive issues for RIAs concerning their advertising materials and client solicitation arrangements. ....

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