Key SEC encforcements of 2020

A timeline of the Securities and Exchange Commission's most important enforcement actions this year.

Part two of this month’s cover story comprises stats on, and some key takeaways from, some of the most important enforcement actions by the Securities and Exchange Commission in 2020. They illustrate what the SEC is focusing on with regards to its oversight of private funds, and the big lesson from them can be summed up in just a few words: mind your Ps, Ps and Ps (policies, procedures and paperwork).

Email prepared by Graham Bippart