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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. ....

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WhatsApp For Registered Investment Advisers? A New SEC Enforcement Action, That's What - Securities

On April 3, 2024, the US Securities and Exchange Commission ("SEC") brought its first enforcement action against a "stand-alone" SEC registered investment adviser. ....

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SEC Speaks Conference 2024 - Securities

The SEC (U.S. Securities and Exchange Commission) recently hosted the 2024 SEC Speaks conference in Washington, DC. During the event, SEC leaders, including the Chair, commissioners, and senior staffers. ....

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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. ....

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WhatsApp for Registered Investment Advisers? A New SEC Enforcement Action, That's What | Mayer Brown

On April 3, 2024, the US Securities and Exchange Commission (“SEC”) brought its first enforcement action against a “stand-alone” SEC registered investment adviser (“RIA”) for violations. ....

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