Tag: Investment Advisers Act

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Securities Enforcement Roundup – August 2024 - Morgan Lewis

Added to Collection on: 2024-09-06 17:45:55

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76th United States Congress
Financial history of the United States
Financial markets
U.S. Securities and Exchange Commission
Securities Exchange Act
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Investment Advisers Act
Hedge fund
Mutual fund scandal
Investment Company Act
Ripple Labs Inc.

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Top 5 SEC Enforcement Developments for August 2024 | Morrison Foerster

Added to Collection on: 2024-09-24 21:12:59

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Stock market
76th United States Congress
Financial history of the United States
Corporate crime
Financial markets
U.S. Securities and Exchange Commission
Registered Investment Adviser
Investment Advisers Act
Cryptocurrency
Kraken
Securities Exchange Act
Broker-dealer
Ripple Labs Inc.

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Fintech in Brief: Win Some, Lose Some: Recent Developments in the Regulation of Private Funds

Added to Collection on: 2024-10-15 15:49:28

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76th United States Congress
Financial history of the United States
Financial adviser
U.S. Securities and Exchange Commission
Investment Advisers Act
Gabelli v. SEC
Lucia v. Securities and Exchange Commission

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SEC Division of Examinations Priorities for 2025: Examinations Will Prioritize New Rules for ...

Added to Collection on: 2024-10-24 21:02:41

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Corporate governance
Registered Investment Adviser
U.S. Securities and Exchange Commission
Financial adviser
Environmental, social, and governance
Royal Institution of Chartered Surveyors
Investment Advisers Act
Hedge fund

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SEC Charges Morgan Stanley Smith Barney for Policy Deficiencies that Resulted in Failure ...

Added to Collection on: 2024-12-09 23:05:53

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Financial advisors
Electronic funds transfer
Financial adviser
Investment Advisers Act
Financial services
Wire transfer
MORGAN STANLEY SMITH BARNEY LLC
Newsfile Corp.

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SEC Fines 12 Firms $63M for Failing to Maintain Proper Electronic Records - planadviser

Added to Collection on: 2025-01-14 21:33:13

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Corporate crime
76th United States Congress
Financial history of the United States
Blackstone Inc.
David Blitzer
U.S. Securities and Exchange Commission
Apollo Global Management
Securities Exchange Act
Kohlberg Kravis Roberts
Investment Advisers Act
Mutual fund scandal

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SEC Settles Enforcement Proceedings Against Quantitative Hedge Fund Manager for ... - JD Supra

Added to Collection on: 2025-02-28 18:32:36

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76th United States Congress
Financial history of the United States
Investment management
Investment Advisers Act
Separately managed account
Registered Investment Adviser
Hedge fund
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United States Securities Regulation

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Builder of Investment Models Deviates From Blueprints - Employee's Rogue Remodeling ...

Added to Collection on: 2025-05-06 19:54:16

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Institutional investors
Two Sigma
Registered Investment Adviser
Financial adviser
Investment Advisers Act
Investment management
Two Sigma Investments LP

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SEC clears path for Ripple, Coinbase, BitGo to qualify as custodians - Crypto News

Added to Collection on: 2025-10-01 23:09:04

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BitGo
Decentralization
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Coinbase
United States Securities and Exchange Commission
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Cryptocurrency
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SEC Staff Issues No-Action Relief Permitting Use of State-Chartered Trust Companies as ...

Added to Collection on: 2025-10-03 14:15:39

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76th United States Congress
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Investment company
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United States Securities and Exchange Commission
Registered Investment Adviser
Investment Company Act
Investment fund
Custodian bank
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