Jonno Forman, Patrick Campbell and Krista Fuller Author Article on SEC Consent Order

News / January 4, 2023

Partners Jonno Forman and Patrick Campbell and Counsel Krista Fuller have written an article for Law360 titled “SEC Order Holds 5 Compliance Tips for Advisers.”

In the Jan. 4, 2023, article, the authors write that the Securities and Exchange Commission (SEC) “will find investment advisers and their senior management liable where gaps in their supervisory programs allow misconduct by their representatives.”

Read the article.

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