Nov 132024

FY2024 in Review: SEC Enforcement Actions Against Investment Advisers to Private Funds, Registered Funds, and Retail Clients

W. Hardy Callcott, Stephen L. Cohen, Chuck Daly, Ranah Esmaili, Lara Mehraban, Ashley C. Pfeiffer and Sarah K. Gromet
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In its 2024 fiscal year, the U.S. Securities and Exchange Commission brought over 130 enforcement actions against investment advisers and their representatives. This post highlights the key areas of focus and notable actions and litigation from the past fiscal year.

Please click here to view the full Sidley Update.

This post is as of the posting date stated above. Sidley Austin LLP assumes no duty to update this post or post about any subsequent developments having a bearing on this post.

W. Hardy Callcott

San Francisco

wcallcott@sidley.com

Stephen L. Cohen

Washington, D.C., Boston, ...

scohen@sidley.com

Chuck Daly

New York, Boston

cdaly@sidley.com

Ranah Esmaili

Washington, D.C.

resmaili@sidley.com

Lara Mehraban

New York

lmehraban@sidley.com

Ashley C. Pfeiffer

New York

apfeiffer@sidley.com

Sarah K. Gromet

New York

sgromet@sidley.com

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