United States: SEC Announces First Off-Channel Communications Enforcement Action Against A Standalone Private Fund Manager - Akin Gump Strauss Hauer & Feld LLP

Credit: Mondaq- Published on April 12, 2024

On April 3, 2024, the U.S. Securities and Exchange Commission (SEC) announced its first enforcement action against a registered investment adviser (RIA) with no ties to a broker-dealer regarding so-called "off-channel" communications.

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