SEC Offering Amnesty to Firms Impacted by SolarWinds Cyberattack – If They Cooperate July 19, 2021 The SEC’s Enforcement staff is conducting an investigation related to the widely publicized...
BDC Adviser Fined Over $800,000 for Accepting Fees Without Board Knowledge or Approval June 15, 2021 The SEC has settled charges against a California-based investment adviser and its co-principal...
New York City Bar Recommends SEC Framework for CCO Liability June 15, 2021 Following a report issued in February 2020 on how the SEC should consider potential liability for...
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