Subject to Inquiry

Subject to Inquiry

THE LATEST ON GOVERNMENT INQUIRIES AND ENFORCEMENT ACTIONS

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.

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

By Cheryl Haas, Emily P. Gordy, Brian Baltz, Aline McCullough and Chelsey Dawson Klein on 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

By Chelsey Dawson Klein, Alexander Madrid and Cheryl Haas on 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

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