Michael Gordon

Michael Gordon

Lowenstein Sandler LLP

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Strengthened SEC Enforcement Activity is a Reminder that Investment Advisers Must Ensure their Practices and Procedures are...

As evidenced by an influx of recent activity over the past month, it’s becoming more and more apparent that the U.S. Securities and Exchange Commission (SEC) is strengthening its regulatory framework and pushing forward with...more

10/3/2022  /  Books & Records , Enforcement Actions , GAAP , Investment Adviser , Investment Advisers Act of 1940 , Pay-To-Play , PCAOB , Policies and Procedures , Proxy Voting , Securities and Exchange Commission (SEC)
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