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Searching Content indexed under Securities by Jonathan Barr ordered by Published Date Descending.
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DC Circuit Reverses SEC - Negligent Omissions And Willful Omissions Are Mutually Exclusive
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit held that an investment adviser (IA) cannot willfully make a negligent disclosure in its Forms ADV.
United States
21 May 2019
2
DC Circuit Reverses SEC Finding That Negligent Omissions And Willful Omissions Are Mutually Exclusive
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit held that an investment adviser (IA) cannot willfully make a negligent disclosure in its Forms ADV.
United States
17 May 2019
3
New SEC Enforcement Initiative Encourages Advisers To Self-Report Mutual Fund Share Class Violations
On February 12, 2018, the Division of Enforcement of the U.S. Securities and Exchange Commission ("SEC") announced a new initiative to encourage advisers to self-report share class violations.
United States
26 Feb 2018
4
Foreign Corrupt Practices Act 2016 Year-End Update
2016 was a record-setting year for Foreign Corrupt Practices Act ("FCPA") enforcement, as both the U.S. Department of Justice ("DOJ")...
United States
6 Feb 2017
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