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2021 SEC enforcement results - Takeaways for fund managers

USA - November 23 2021 On November 18, 2021, the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2021, and there are a few key takeaways for…

Joshua M Newville

SEC is exploring reforms regarding private fund disclosure of conflicts of interest and fees and expenses

USA - September 20 2021 On September 14, 2021, U.S. Securities and Exchange Commission Chair Gary Gensler testified before the Senate Committee on Banking, Housing, and…

Joshua M Newville

SEC brings first enforcement action against alternative data provider

USA - September 16 2021 On September 14, 2021, the Securities and Exchange Commission (“SEC”) filed a settled securities fraud action against App Annie Inc., one of the…

Robert G Leonard, Jeffrey Neuburger, Joshua M Newville

SEC brings first enforcement action against alternative data provider

USA - September 15 2021 Yesterday, the Securities and Exchange Commission (“SEC”) filed a settled securities fraud action against App Annie Inc., one of the largest sellers…

Robert G Leonard, Jeffrey Neuburger

U.S. federal regulators turn up the heat on cryptocurrency trading platforms

USA - August 27 2021 With new types of digital assets and related business on the rise, federal authorities have been busy investigating. Recently, the SEC, FinCEN and…

Julia M. Ansanelli, Joshua M Newville, Seetha Ramachandran