This is one of the SEC's proposed new Advisers Act rules targeting private fund advisers
"We have long recognized that insider trading and the fraudulent use of material nonpublic information by corporate insiders not only harm individual investors but also ...
This is the SEC's proposed new rule that would require advisers to report cybersecurity incidents via new proposed Form ADV-C
This is the SEC's proposal for a cybersecurity rule for investment advisers
This is the SEC's proposed cybersecurity rule directed at registered funds
Wahed Invest had no written policies and procedures addressing how it would assure Shari’ah compliance on an ongoing basis or how it would calculate and ...
"An employee at an SBS Entity planning an opportunistic strategy could attempt to mislead the CCO by submitting false documentation to the CCO in order ...
Here is the SEC's latest regulatory agenda
On Jan. 19th, 2020, the SEC formally withdrew the no-action letters. The list of the withdrawn letters is below
Nino allegedly used the funds for personal expenses—primarily gifts and travel and living expenses for women with whom he had romantic relationships