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United States: WhatsApp For Registered Investment Advisers? A New SEC Enforcement Action, That's What - Mayer Brown

Mondaq Wednesday, 24 April 2024 ()
On April 3, 2024, the US Securities and Exchange Commission ("SEC") brought its first enforcement action against a "stand-alone" SEC registered investment adviser...
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United States: SEC Announces First Off-Channel Communications Enforcement Action Against A Standalone Private Fund Manager - Akin Gump Strauss Hauer & Feld LLP

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced its first enforcement action against a registered investment adviser (RIA) with no...
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