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Separately Managed Accounts (SMA) Securities and Exchange Commission (SEC) Investment Advisers Act of 1940

Lowenstein Sandler LLP

SEC Settlement Reflects Continued Scrutiny Regarding Conflicts and Preferential Treatment

Lowenstein Sandler LLP on

On May 14, 2024, the U.S. Securities and Exchange Commission (SEC) announced a settlement with a registered investment adviser (Adviser) that found the Adviser had (a) failed to adequately disclose conflicts pertaining to...more

Kilpatrick

Mind your P’s and P’s – SEC Settles Enforcement Action Related to ESG Policies and Procedures

Kilpatrick on

The Securities and Exchange Commission (the “SEC”) has again set its sights on registrants’ environmental, social, and governance (“ESG”)-related investing. In another major action against registrants involving ESG-related...more

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