{"id":1160,"date":"2021-08-25T19:16:08","date_gmt":"2021-08-25T19:16:08","guid":{"rendered":"http:\/\/localhost\/?p=1160"},"modified":"2021-08-25T19:16:08","modified_gmt":"2021-08-25T19:16:08","slug":"sec-continues-focus-on-conflicts-disclosures-in-enforcement-actions-totaling-106-million-in-fines-and-disgorgement","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/08\/25\/sec-continues-focus-on-conflicts-disclosures-in-enforcement-actions-totaling-106-million-in-fines-and-disgorgement\/","title":{"rendered":"SEC Continues Focus on Conflicts Disclosures in Enforcement Actions Totaling $106 Million in Fines and Disgorgement"},"content":{"rendered":"<p>The SEC\u00a0recently entered into four consent orders (collectively, the \u201c<strong>Orders<\/strong>\u201d and each, an \u201c<strong>Order<\/strong>\u201d) with registered investment advisers (\u201c<strong>RIAs<\/strong>\u201d and each, an \u201c<strong>RIA<\/strong>\u201d) that sanctioned the RIAs for failures to provide full and fair disclosure regarding conflicts of interest. Notably,\u00a0<strong>the Orders highlight the RIAs\u2019 various efforts to correct disclosure issues, and the SEC\u2019s ultimate position that each additional disclosure was still inadequate<\/strong>. These Orders again demonstrate the SEC\u2019s continuing focus on ensuring firms provide full and fair disclosure of conflicts of interest, and the difficulty for practitioners in pegging what the SEC will deem a complete and accurate disclosure.<\/p>\n<p><a href=\"https:\/\/www.kilpatricktownsend.com\/en\/Insights\/Alert\/2021\/8\/SEC-Continues-Focus-on--Conflicts-Disclosures-in-Enforcement-Actions-Totaling-$106-Million-in-Fines-and-Disgorgement\">Read more here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>The SEC\u00a0recently entered into four consent orders (collectively, the \u201cOrders\u201d and each, an \u201cOrder\u201d) with registered investment advisers (\u201cRIAs\u201d and each, an \u201cRIA\u201d) that sanctioned the RIAs for failures to provide full and fair disclosure regarding conflicts of interest. Notably,\u00a0the Orders highlight the RIAs\u2019 various efforts to correct disclosure issues, and the SEC\u2019s ultimate position &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2021\/08\/25\/sec-continues-focus-on-conflicts-disclosures-in-enforcement-actions-totaling-106-million-in-fines-and-disgorgement\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">SEC Continues Focus on Conflicts Disclosures in Enforcement Actions Totaling $106 Million in Fines and Disgorgement<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":94,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"footnotes":""},"categories":[23,24,22],"tags":[],"class_list":["post-1160","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 5.0.0.1 - aioseo.com -->\n\t<meta name=\"description\" content=\"The SEC recently entered into four consent orders (collectively, the \u201cOrders\u201d and each, an \u201cOrder\u201d) with registered investment advisers (\u201cRIAs\u201d and each, an \u201cRIA\u201d) that sanctioned the RIAs for failures to provide full and fair disclosure regarding conflicts of interest. 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Notably, the Orders highlight the RIAs\u2019 various efforts to correct disclosure issues, and the SEC\u2019s ultimate position","og:url":"https:\/\/bdia.pli.edu\/index.php\/2021\/08\/25\/sec-continues-focus-on-conflicts-disclosures-in-enforcement-actions-totaling-106-million-in-fines-and-disgorgement\/","article:published_time":"2021-08-25T19:16:08+00:00","article:modified_time":"2021-08-25T19:16:08+00:00","twitter:card":"summary_large_image","twitter:title":"SEC Continues Focus on Conflicts Disclosures in Enforcement Actions Totaling $106 Million in Fines and Disgorgement | Legal Perspectives on Current Regulatory Developments for BDs and IAs","twitter:description":"The SEC recently entered into four consent orders (collectively, the \u201cOrders\u201d and each, an \u201cOrder\u201d) with registered investment advisers (\u201cRIAs\u201d and each, an \u201cRIA\u201d) that sanctioned the RIAs for failures to provide full and fair disclosure regarding conflicts of interest. Notably, the Orders highlight the RIAs\u2019 various efforts to correct disclosure issues, and the SEC\u2019s ultimate position"},"aioseo_meta_data":{"post_id":"1160","title":null,"description":null,"keywords":null,"keyphrases":null,"primary_term":null,"canonical_url":null,"og_title":null,"og_description":null,"og_object_type":"default","og_image_type":"default","og_image_url":null,"og_image_width":null,"og_image_height":null,"og_image_custom_url":null,"og_image_custom_fields":null,"og_video":null,"og_custom_url":null,"og_article_section":null,"og_article_tags":null,"twitter_use_og":false,"twitter_card":"default","twitter_image_type":"default","twitter_image_url":null,"twitter_image_custom_url":null,"twitter_image_custom_fields":null,"twitter_title":null,"twitter_description":null,"schema":{"blockGraphs":[],"customGraphs":[],"default":{"data":{"Article":[],"Course":[],"Dataset":[],"FAQPage":[],"Movie":[],"Person":[],"Product":[],"ProductReview":[],"Car":[],"Recipe":[],"Service":[],"SoftwareApplication":[],"WebPage":[]},"graphName":"","isEnabled":true},"graphs":[]},"schema_type":"default","schema_type_options":null,"pillar_content":false,"robots_default":true,"robots_noindex":false,"robots_noarchive":false,"robots_nosnippet":false,"robots_nofollow":false,"robots_noimageindex":false,"robots_noodp":false,"robots_notranslate":false,"robots_max_snippet":null,"robots_max_videopreview":null,"robots_max_imagepreview":"large","priority":null,"frequency":null,"local_seo":null,"breadcrumb_settings":null,"limit_modified_date":false,"ai":null,"created":"2024-11-01 17:49:34","updated":"2025-10-11 03:46:47","seo_analyzer_scan_date":null,"focus_keyword":null,"additional_keywords":null,"truseo_locale":null},"aioseo_breadcrumb":"<div class=\"aioseo-breadcrumbs\"><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\" title=\"Home\">Home<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\t<a href=\"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/\" title=\"Compliance\">Compliance<\/a>\n\t\t<\/span><span class=\"aioseo-breadcrumb-separator\">&raquo;<\/span><span class=\"aioseo-breadcrumb\">\n\t\t\tSEC Continues Focus on Conflicts Disclosures in Enforcement Actions Totaling $106 Million in Fines and Disgorgement\n\t\t<\/span><\/div>","aioseo_breadcrumb_json":[{"label":"Home","link":"https:\/\/bdia.pli.edu"},{"label":"Compliance","link":"https:\/\/bdia.pli.edu\/index.php\/category\/compliance\/"},{"label":"SEC Continues Focus on Conflicts Disclosures in Enforcement Actions Totaling $106 Million in Fines and Disgorgement","link":"https:\/\/bdia.pli.edu\/index.php\/2021\/08\/25\/sec-continues-focus-on-conflicts-disclosures-in-enforcement-actions-totaling-106-million-in-fines-and-disgorgement\/"}],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1160","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/94"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1160"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1160\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1160"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1160"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1160"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}