Tag: advisers

Adviser advertising has been a key focus of the Commission. This is true for both OCIE and Enforcement. OCIE has issued alerts on the subject; Enforcement has filed settled enforcement actions. In many instances, the issues revolve around marketing materials …

Adviser Pays $1.9 Million SEC Penalty For False Ads Read More »

Tagged with: , ,

Last week began and ended in the same way for the Commission’s Enforcement Division – with settled proceedings based on adviser conflicts built on false statements that disadvantaged clients. At the beginning of the week the Commission announced the settlement …

SEC Charges Another Adviser With Failing to Disclose Conflicts Read More »

Tagged with: , , ,