Jarrod Azopardi

Jarrod Azopardi

Winstead PC

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SEC Fines Private Fund Sponsor for Failing to Deliver Audited Financials

On May 22, 2020, the Securities and Exchange Commission (the “SEC”) initiated and settled cease-and-desist proceedings against a private fund sponsor that allegedly failed to timely deliver audited financial statements to the...more

6/3/2020  /  Cease and Desist Orders , Custody Rule , Enforcement Actions , Financial Statements , Fund Sponsors , GAAP , PCAOB , Private Funds , Securities and Exchange Commission (SEC)
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