A recent Securities and Exchange Commission (“SEC”) settled enforcement action serves as an excellent reminder of the risk of operational integration to firms that operate multiple advisory entities, especially where one of...more
10/7/2024
/ Affiliates ,
Cease and Desist ,
Civil Monetary Penalty ,
Compliance ,
Custody Rule ,
Enforcement Actions ,
Exemptions ,
Investment Adviser ,
Private Funds ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)