In its 2023 fiscal year that ended on September 30, the U.S. Securities and Exchange Commission (SEC or Commission) brought over 150 enforcement actions against investment advisers and their representatives. A review of notable actions under the Investment Advisers Act of 1940 reveals a number of trends likely to continue into FY2024, including aggressive enforcement in areas of focus for Chairman Gary Gensler’s regulatory agenda.
Here, we provide an overview of key areas of focus and notable actions….
‘Enforcement 40’ for 2020
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