Whistleblower rule violations because the confidentiality agreements impeded clients from reporting potential securities law violations to the Commission
International Assets Advisers failed to provide full and fair disclosures regarding compensation and financial incentives that its affiliated B-D received from a clearing broker
From at least 2019, ClearPath used improper hedge clauses in advisory agreements. These agreements were still active as of mid-2024 and controlled ClearPath’s relationships with ...
Galois allowed certain fund investors to redeem with less than five business days’ notice. The practice of permitting certain investors, including affiliated investors, to redeem ...
Colony failed to provide the required disclosures to limited partners in advance and to obtain the required approvals from the LPACs or majority-in-interest of limited ...
This new FinCEN rule, which takes effect in 2026, would require most investment advisers to create AML programs and to report suspicious activity to FinCEN
The adviser failed to establish, maintain, and enforce written P&Ps reasonably designed to prevent the misuse of material nonpublic information concerning its trading of collateralized ...
DeCaprio misrepresented to investors that the Funds were audited annually by an independent auditor
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The SEC finalizes this rule that adjusts for inflation the dollar threshold used in defining a “qualifying venture capital fund”