Thought Leadership Insights and Whitepapers
SEC Censures Private Fund Manager for Misleading Performance MarketingSEC Fines Private Fund Manager Over $2 Million for Misleading Disclosures Regarding Work With Activist Short PublishersUnderstanding the Reg. S-P RequirementsU.S. Court of Appeals Vacates Private Fund RuleSEC Fines Private Fund Manager $1 Million for Conflicts Disclosure and Redemption Failures – May 21, 2024SEC Adopts Incident Response Planning Rule Under Regulation S-PSEC Proposes New Anti-Money Laundering Rule for RIAs and ERAsGeneral Solicitation Under Regulation D – Recent Trends and Enforcement ActivityCybersecurity Myths and Misconceptions for Emerging ManagersSEC Issues Risk Alert on Marketing Rule ComplianceSEC Fines Private Equity Fund Manager for Technical Violations of the Pay-to-Play Rule – April 19, 2024The SEC Moves in on the DeFi Space with a Wells Notice for Uniswap – April 17, 2024The Fox in the HenhousePrivate Markets Fund Managers – Effective SEC Exam Preparation StrategiesSEC Fines Hedge Fund Manager $6.5 Million for Electronic Communications Violations – April 4, 2024SEC Expands Insider Trading Scope by Prevailing in “Shadow Trading” Case – April 9, 2024SEC Fines Five RIAs for Marketing Rule Violations – April 15, 2024The 3 Minute Guide to Preparing for the SEC Cybersecurity Rules