Avi Gesser, Kristin Snyder, Erez Liebermann, Charu Chandrasekhar and Johanna Skrzypczyk

Debevoise & Plimpton Discusses the SEC’s Most Recent Reg S-P Enforcement Action

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On September 20, 2022, the SEC announced settled charges and the imposition of a $35 million penalty against a dually registered investment adviser and broker-dealer (the “Firm”) for violations of Regulation S-P (“Reg S-P”). The SEC found that the Firm …