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SEC Announces Enforcement Actions Against “AI-Washing” Advisers
On March 18, the Securities and Exchange Commission announced an enforcement action against two investment …
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SEC Settles Charges with 16 Firms for Recordkeeping Failures
On February 9, the Securities and Exchange Commission (SEC) announced the latest round of settlements …
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Event of Interest: Stradley to Host SEC Enforcement Webinar
Enforcement lawyers at Stradley Ronon will review key enforcement themes and results for fiscal year …
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Event of Interest: K&L Gates to Host 2023 Regulatory Year in Review Webinar
K&L Gates partners will look back at the Commission’s 24 adopted rules and 18 new proposals, while also …
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SEC FY2023 Enforcement Results Released
The Securities and Exchange Commission (SEC) released its Enforcement results for the fiscal year …
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SEC's Amended Names Rule
What’s in a Name (and What Does it Say About Your Fund)? SEC’s Amended Names Rule Copyright …
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Gensler Delivers Remarks on Securities Law Enforcement
Gary Gensler delivered remarks on the importance of attorneys, accountants, and compliance professionals …
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SEC Enforcement Director Delivers Remarks on Compliance Programs, Professionals
Gurbir Grewal the Director of the Division of Enforcement at the Securities and Exchange Commission …
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Gensler Testifies in Senate Appropriations Subcommittee Hearing on SEC FY24 Budget
The Senate Appropriations Subcommittee on Financial Services and General Government held a hearing …
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Willkie Releases Mid-Year Analysis of SEC Enforcement Actions
The paper focuses on SEC Enforcement actions through the first part of the year and notes the …
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UMD April 2023 Agenda
ESG Oversight: The Fundamentals in an Evolving Space for Fund Boards April 12, 2023 – Washington, DC …
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UMD April 2023 Agenda
ESG Oversight: The Fundamentals in an Evolving Space for Fund Boards April 12, 2023 – Washington, DC …
- Webinar Archive: What to Do When the SEC Calls