SEC monitoring ’emerging pressures’ in private credit space
Intense Life Desires The Securities and Exchange Commission is closely monitoring the “emerging pressures” in the private credit...
SEC
Why The SEC May No Longer Allow “Hedge Clauses” In Client Advisory Agreements (And How To Replace Them Compliantly)
Advisory firms often rely on long-standing Investment Management Agreement (IMA) templates that include liability waivers...
SEC finds little to celebrate in record $18B penalty haul
Rocketed by a flurry of enforcement actions at the tail end of the Biden Administration,...
Gibson Dunn partner takes top enforcement role at SEC
A former Securities and Exchange Commission official will return to the agency next month to...
Ally to pay $500,000 after SEC finds robo-advisor infractions
Key insight: Ally’s cash-enhanced accounts were engineered so that the company could make up revenue...
After getting $93M judgment nixed, Commonwealth settles with the SEC for $5M
The SEC has settled for $5 million in a landmark court case that had previously...
After wins, anti-DEI shareholders turn sights on Trump’s SEC
More than a year into the second Trump administration, which kicked off with a flurry...
The future of dual ETF share classes after SEC approvals
The SEC’s green light for dozens of investment firms to offer ETF share classes of...
Supreme Court to review SEC disgorgement to fraud victims
The U.S. Supreme Court will consider how much power the SEC has to recover illegal...
SEC proposes new ‘small firm’ definition
The SEC is looking to reclassify more advisory firms as “small entities” in an attempt...