Subject to Inquiry

Subject to Inquiry


Government Investigations and White Collar Litigation Group

Chelsey Dawson Klein

Photo of Chelsey Dawson Klein Chelsey concentrates her practice on transportation and complex commercial litigation. Chelsey received her law degree from Temple University Beasley School of Law, magna cum laude, where she served as a Note Comment Editor and Write-On Coordinator for the Temple Law Review.

Subscribe to all posts by Chelsey Dawson Klein

SEC Focus on Private Fund Advisers Continues With the Publication of EXAMS Risk Alert

Enforcement and Prosecution Policy and Trends, Securities and Commodities
On January 27, 2022, the Division of Examinations (“EXAMS”) of the U.S. Securities and Exchange Commission (“SEC”) published a Risk Alert with its Observations from Examinations of Private Fund Advisers. This Risk Alert is one of a series of signals of the SEC’s focus on private fund advisers under Chairman Gensler, including Form PF amendments… Continue Reading

Another Cop on the Beat? CFP Board Signals Increased Enforcement Focus

Compliance, Enforcement and Prosecution Policy and Trends, Financial Institution Regulation
Financial advisors have long used the Certified Financial Planner designation as an indicator to potential clients that they meet high standards of professionalism and ethics within their field.  The Certified Financial Planner Board of Standards, Inc. (the “CFP Board”), which grants the designation, markets it as demonstrating that its holder meets strict ethical standards.  Yet… Continue Reading

We use cookies to enhance your experience of our website. By continuing to use this website, you agree to the use of these cookies. For more information and to learn how you can change your cookie settings, please see our policy.