SEC Regulatory Update: Reports & Enforcement Act
This podcast covers the SEC’s Fiscal Year 2025 financial report, key enforcement actions against industry professionals and firms, new regulatory initiatives like Project Crypto, and recent adjudicatory orders affecting market participants.
Welcome to Carver's regulatory news update focusing on the U.S. Securities and Exchange Commission (SEC).
This episode highlights the release of the SEC’s Fiscal Year 2025 Agency Financial Report, which includes management discussion, audited financials, and introduces Project Crypto, a new initiative to enhance oversight in the digital asset space.
We review several enforcement actions including cease-and-desist orders against Ankit Mahadevia and Satyavrat Shukla for misleading statements about a drug candidate, and the barring of Leonela M. Duarte from association with securities industry entities due to misconduct.
Also discussed is the SEC’s action against Engaged Capital, LLC for undisclosed conflicts of interest, emphasizing fiduciary responsibilities in investment advisory services. In litigation news, Matthew M. Motil is permanently enjoined from violating securities laws, reinforcing SEC commitment to market integrity.
Additional topics include recent adjudicatory opinions and rule changes affecting self-regulatory organizations and investment companies.
For more information, visit the Carver Agents website.
Articles mentioned:
This episode highlights the release of the SEC’s Fiscal Year 2025 Agency Financial Report, which includes management discussion, audited financials, and introduces Project Crypto, a new initiative to enhance oversight in the digital asset space.
We review several enforcement actions including cease-and-desist orders against Ankit Mahadevia and Satyavrat Shukla for misleading statements about a drug candidate, and the barring of Leonela M. Duarte from association with securities industry entities due to misconduct.
Also discussed is the SEC’s action against Engaged Capital, LLC for undisclosed conflicts of interest, emphasizing fiduciary responsibilities in investment advisory services. In litigation news, Matthew M. Motil is permanently enjoined from violating securities laws, reinforcing SEC commitment to market integrity.
Additional topics include recent adjudicatory opinions and rule changes affecting self-regulatory organizations and investment companies.
For more information, visit the Carver Agents website.
Articles mentioned:
- 2025 Agency Financial Report
- Administrative Proceedings: Ankit Mahadevia and Satyavrat Shukla
- Administrative Proceedings: Leonela M. Duarte
- Administrative Proceeding - Engaged Capital, LLC
- Litigation Release - Matthew M. Motil, et al.
- Commission Opinions and Adjudicatory Orders: David H. Goldman
- Commission Opinions and Adjudicatory Orders: Brook Church-Koegel
- Commission Opinion and Adjudicatory Order - Nicole J. Walker
- Investment Company Act Notice: AMG Pantheon Master Fund, LLC, et al
- Self-Regulatory Organizations; Nasdaq Pricing Rule Change
