| 12.09.2023 Other Voices: Heightened SEC enforcement action illustrates the value of investing in reputable compliance support |
| By Mark Buckley-Jones, director at RQC Group, a US compliance firm. In a time of notably increased rule-making and examination activity by the SEC, two recent enforcements illustrate the value of investing in reputable compliance support. The SEC recently charged a private equity firm for inadequate disclosure of fees paid to an affiliate, and five advisory firms have been charged in sep |
| Article source: https://www.lexology.com/library/detail.aspx?g=7bf7c90e-9dd9-41e2-b67c-5be2959aeaf7&utm_source=lexology+daily+newsfeed&utm_medium=html+email+-+body+-+general+section&utm_campaign=lexology+subscriber+daily+feed&utm_content=lexology+daily+newsfeed+2023-09-11&utm_term= - Opalesque is not responsible for the content of external internet sites |