The SEC charged a capital fund adviser group with making misleading statements about management fees and engaging in inter-fund transactions in breach of fund operating agreements.
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SEC Commissioner Allison Herren Lee called for new standards of professional conduct to address “can-do” corporate lawyering.
The Business Conduct Committees of the New York Mercantile Exchange and the Commodity Exchange sanctioned two firms and two traders for numerous exchange rule violations related to block trades and wash trades.
The North American Securities Administrators Association highlighted web-based investor education resources as part of National Consumer Protection Week.
In a speech before the ABA Institute on White Collar Crime, Attorney General Merrick B. Garland highlighted DOJ's "first priority in corporate criminal cases," the prosecution of individuals who profit from corporate malfeasance.