Stay up-to-date on recent enforcement actions, alerts, and regulatory news.

Custody Rule Compliance: SEC Charges Advisory Firm ClearPath with Custody Rule and Liability Disclaimer Violations

September 12, 2024

SEC Charges Creative Legal Fundings CEO Maria Dickerson with Operating Multimillion Dollar Ponzi Scheme that Targeted Filipino-American Community

September 12, 2024

SEC Charges Crypto-Focused Advisory Firm Galois Capital for Custody Failures

September 12, 2024

Accounting and Compliance: SEC Approves a New PCAOB Quality Control Standard

September 12, 2024

SEC Marketing Rule Violations: SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule

September 12, 2024

Foreign Corrupt Practices Act (FCPA): SEC Charges John Deere With FCPA Violations for Subsidiary’s Role in Thai Bribery Scheme

September 12, 2024

Client Alert: Mutual Fund Guidance (Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs)

September 12, 2024

Client Alert: SEC Adopts Reporting Enhancements for Registered Investment Companies and Provides Guidance on Open-End Fund Liquidity Risk Management Programs

September 12, 2024

SEC Charges China-based QZ Asset Management Ltd. and its CEO in Pre-IPO Fraud Scheme

September 12, 2024

SEC Charges Brothers Jonathan and Tanner Adam with $60 Million Ponzi Scheme

September 12, 2024

MNPI: SEC Charges Sound Point Capital Management for Compliance Failures in Handling of Nonpublic Information

September 12, 2024

Crypto Compliance: SEC Charges Abra with Unregistered Offers and Sales of Crypto Asset Securities

September 12, 2024

Client Alert: Qualifying Venture Capital Funds Inflation Adjustment

September 12, 2024

SEC Rule Adoption: SEC Adopts Rule to Update Definition of Qualifying Venture Capital Funds

September 12, 2024

SEC Charges Transfer Agent Equiniti Trust Co. with Failing to Protect Client Funds Against Cyber Intrusions

September 12, 2024