The SEC recently settled a proceeding brought against an investment adviser firm, its former President, and other principals at the firm where the compliance function
When: June 24th 2015 Where: The Belle Haven Club | 100 Harbor Drive, Greenwich CT 06830 Please join Victor L. Zimmerman of Curtis, Mallet-Prevost, Colt
On May 20, 2015, the SEC unanimously approved extensive proposed amendments to Form ADV that, if adopted, would require registered investment advisers to provide new
The SEC is continuing to focus heavily on the private equity sector, reminding advisers in this space to be mindful of their practices. On May
The SEC’s Division of Investment Management recently released new guidance to registered investment advisers and investment companies regarding cybersecurity. The SEC has previously identified cybersecurity
The Securities and Exchange Commission today announced an award of more than a million dollars to a compliance officer who believed that disclosure to the
The SEC has charged an advisor with failing to disclose a conflict of interest to their clients and fund boards. In this significant case, the
On April 1, 2015, the Securities and Exchange Commission announced its first ever enforcement action against a company for violating Dodd Frank’s whistle blower rules. In
In February 2015, the SEC’s Division of Investment Management issued guidance to the public with respect to the conflict of interest that arises when individuals
When: March 30th 2015 Where: Kaufman Rossin Fund Services | 2699 Bayshore Drive, Miami FL 33133 Please join SEC3, Kaufman Rossin Fund Services, and Morgan,
