Enforcement

Regulator settled with the accused over allegedly mishandled audits of investment valuations.

It’s difficult to imagine a Congress so divided would be able to address a constitutional remedy should the SCOTUS find for Cochran.

More than one in five cases involved fees, expenses or valuations

Private fund adviser charged with failing to disclose conflicts and making material misstatements and omissions tied to SPACs.

SEC alumni at ACA webinar say detailed notes of calls and 'chaperoning' are the best protective steps against potential enforcements.

SEC enforcement director Gurbir Grewal is promising to get tough on private equity, hedge funds and venture capital funds.

OCIE exams are continuing amid covid-19 disruptions, but remote working conditions are slowing them down, say lawyers from Debevoise & Plimpton.