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PCAOB Division of Enforcement's First Quarter Continues Record-Setting Pace | King & Spalding

The PCAOB’s Division of Enforcement and Investigations’ 2024 first quarter activity continued the blistering pace of enforcement since Erica Williams became the Board’s Chair. While the. ....

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Public Companies Quarterly Update (Q3 2023) | Saul Ewing LLP

Welcome to Saul Ewing’s Public Companies Quarterly Update series. Our intent is to, on a quarterly basis, highlight important legal developments of which we think public companies. ....

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SEC Finds Investment Adviser CEO Liable For Failing To Supervise High-Risk Representative - Securities

The U.S. Securities and Exchange Commission (SEC) continues to bring failure-to-supervise cases against registered firms and their senior management – including their chief executive officers – for allegedly not responding reasonably to red flags relating to their representatives' misconduct. ....

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SEC charges investment adviser in connection with use of backtested performance | Eversheds Sutherland (US) LLP

On January 13, 2022, the Securities and Exchange Commission (SEC) announced settled charges against CMG Capital Management Group, Inc. (CMG), a registered investment adviser for failing. ....

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In Echo Of Expert Network Cases, SEC Reaches Securities Fraud Settlement With Alternative Data Provider - Corporate/Commercial Law

In Echo Of Expert Network Cases, SEC Reaches Securities Fraud Settlement With Alternative Data Provider - Corporate/Commercial Law
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