The SEC therefore charges Akshay and Dev Kamboj with violating Section 17 (a) of the Securities Act of 1933, Section 10 (b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The ...
In a recent enforcement action, the Securities and Exchange Commission (SEC) has underscored the critical importance of proper disclosure and conflict management for investment advisers. The case ...