Publications

Do the U.S. Securities and Exchange Commission’s (SEC) recent enforcement action and examinations risk alert signal continued scrutiny of investment adviser conflicts of interest?

In an article for Law.com, partners Greg DiMeglio and Jan Folena, co-chairs of Stradley Ronon’s securities and regulatory enforcement practice, and associate Nick D’Addio explain how the SEC’s recent actions reinforce its focus on economic conflicts, disclosure practices and related compliance controls for investment advisers.

The authors also discuss why materiality and scienter remain important considerations in examinations and enforcement matters.

Read the full article (subscription required).