CCO Alert: Cybersecurity Awareness Month October 2022

October 1, 2022

SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million

October 1, 2022

SEC Proposes to Enhance Private Fund Reporting

October 1, 2022

SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees

October 1, 2022

SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest

October 1, 2022

SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both

October 1, 2022

SEC Charges Hudson Advisors and Lone Star Global for Failing to Disclose that Fund Fees Included More Than $50 Million of Owner’s Income Tax Liability

October 1, 2022

SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law

October 1, 2022

SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule

October 1, 2022

SEC Charges Oracle a Second Time for Violations of the Foreign Corrupt Practices Act

October 1, 2022

SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures

October 1, 2022

SEC Monitoring Impact of Hurricanes Ian and Fiona on Capital Markets

October 1, 2022

SEC Charges Man for Defrauding Investors out of Millions of Dollars by Posing as Hedge Fund Billionaire

October 1, 2022

SEC Charges Audit Firm RSM and Three Senior-Level Employees with Failure to Properly Conduct Client Audits

October 1, 2022

SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings

October 1, 2022