Legal and Regulatory Updates Archives

OFAC Authorizes Limited Divestment from Two Russian Mining Companies

OFAC has authorized limited divestment from two Russian mining companies: Severstal and Nord Gold.

July 01, 2022

Tags: OFAC, Treasury Department

New FAQs on Chinese Military Company Sanctions

Chinese military company sanctions FAQs address dividend reinvestments and transactions by non-U.S. persons.

June 27, 2022

Tags: Treasury Department

Advisers Charged with Valuation, Compliance, Oversight Failures

SEC fines fund adviser and sub-adviser in connection with overvaluation of fund assets, oversight, compliance failures.

June 27, 2022

Tags: Mutual Funds, SEC Enforcement, Valuation

SEC Brings First Reg BI Enforcement Case Against California Broker-Dealer and 5 Registered Representatives

This first-of-its-kind case centers around Reg BI violations in connection with recommendations and sales of L Bonds to investors with moderate risk tolerances.

June 20, 2022

Tags: Reg BI, SEC Enforcement

SEC Charges Adviser for Violating Short Selling Restrictions

SEC fines adviser for violating short selling rule, notes adviser’s self-reporting.

June 20, 2022

Tags: SEC Enforcement, Short Selling, Trading

Digital Advisers Charged with Providing Misleading Disclosures Regarding Cash Sweep Portion of the Firms’ Platform

SEC fines advisers for false and misleading statements in their Form ADV filings about the cash component of their robo-adviser service.

June 20, 2022

Tags: Conflicts of Interest, SEC Enforcement

SEC Charges PE Adviser for Disproportionate Expense Allocations to Fund

SEC fines private equity fund adviser for failure to disclose disproportionate allocation of expenses to fund.

June 20, 2022

Tags: Private Equity, Private Funds, SEC Enforcement

Gensler Targets Payment for Order Flow, Other Equity Market Structure Reforms

SEC’s Gensler targets payment for order flow and outlines several other potential areas for equity market structure reform.

June 14, 2022

Tags: Gary Gensler, Trading

German Police Raid Firm for Alleged ESG Misrepresentations

The raid follows public reports of investigations by the SEC and DOJ into whether DWS has misled investors on its use of ESG considerations in its investment practices.

June 01, 2022

Tags: ESG, EU, Investigation

SEC Charges Adviser and Portfolio Managers with Fraud in Connection with Complex Options Strategy

SEC charges adviser and portfolio managers and bans adviser from registered fund business in connection with fraud related to complex strategy.

May 25, 2022

Tags: Private Funds, SEC Enforcement

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