Titan received an audit opinion for TD I on August 13, 2019. However, Titan did not update or revise its Form ADV until January 10, ...
In 2018, 2019, 2020, and 2021, with respect to the Real Estate Fund and Opportunity Fund, Steward purported to rely on the Audited Financials Alternative ...
Garrison failed to timely deliver the audited financials to Ethika’s investors
Problems were 'first identified by staff of the Commission’s Division of Examinations' in September 2019 but the adviser failed to remediate in an adequate manner
The adviser did not engage an independent public accountant to conduct the requisite audit
Perceptive omitted to disclose that Perceptive personnel shared ownership of the SPAC sponsors
After 2019, Aventura Capital continued to revise its disclosures with respect to its conflict of interest concerning 12b-1 fees, but Aventura Capital’s revised disclosures did ...
EIC’s failures caused the Funds and, ultimately, their LPs to pay $678,681 more in management fees than they should have paid
"KAI failed to (i) review these advisory accounts for inactivity as required under its internal policies and external disclosures, to determine whether wrap accounts remained ...
This is a final rule from 2022 amending the Commission's whistleblower rules