Alexander Cohen and Emily Fulginiti contributed an Expert Analysis to Law360, discussing the SEC’s focus through heightened enforcement efforts and enhanced examination surveillance on the industry’s compliance with Section 204A of the Adviser’s Act. Alex and Emily cover the key takeaways of the Sound Point settlement and the rising trend of Section 204A violations against registered investment advisers. They also offer recommendations to help firms develop Section 204A policies and procedures tailored to their unique business practices.
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