kaal:claim:2337268-041

With private enforcement foreclosed, enforcement of the IAA's prohibited transactions provision depends entirely on injunctive relief, administrative sanctions, and criminal prosecution, all of which require public actors to move.

Source quote, verbatim

Accordingly, the enforcement of the IAA's prohibited transactions provision is relegated to injunctive relief, administrative sanctions, and criminal prosecution.

From

Wulf A. Kaal, Investment Adviser Regulation (2013), 9. Prohibited Practices, p. 22
https://ssrn.com/abstract=2337268 · source PDF

Cite as

Wulf A. Kaal, Investment Adviser Regulation (2013). SSRN: https://ssrn.com/abstract=2337268

Holds when

enforcement against violations of the prohibited transactions provision

Classification

failuresupport: arguedfailure: reliance on public enforcement onlyfamily: enforcement-gapcompliance

Verify

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Attestation record: colloquium/attestations/397a5137ff684446...json
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