Investment Management Counsel David Tittsworth Quoted in ACA Insight and FundFire on SEC Enforcement and Strategic Plans

In The News
October 22, 2018

The SEC has trebled the number of cases leveled against asset managers, broker-dealers and public companies in the last six months, reigniting its enforcement activities. A FundFire article titled “SEC Ramps Up Enforcement Actions” includes insights from investment management counsel David Tittsworth. Separately, in an ACA Insight piece published on Oct. 22 titled “SEC’s Five-Year Strategic Plan Focuses on Retail Investors, Innovation and More” Mr. Tittsworth discusses the SEC’s final Five-Year Strategic Plan, which focuses on retail investors, innovation and cybersecurity, among other areas, while retaining specific initiatives from past plans focusing on enforcement and examinations.