Defendant Name:
Janus Henderson Investors US LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Janus Henderson Group plc
SIC Code:
6282
CUSIP:
G4474Y21
Document Reference:
IA-6114
Document Details
Legal Case Name
In the Matter of Janus Henderson Investors US LLC
Document Name
Order Instituting Administrative And Cease-And-Desist Proceedings, Pursuant To Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
09-Sep-2022
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
On September 9, 2022, the SEC instituted settled administrative and cease-and-desist proceedings against Janus Henderson Investors US LLC, stating: "This matter concerns Janus’ violations of the federal securities laws in connection with the financial
statement audits of a private fund that Janus advised. Janus failed to timely distribute annual
audited financial statements prepared in accordance with Generally Accepted Accounting Principles
(“GAAP”) to certain investors in a private fund that it advised. These failures resulted in violations
of Section 206(4) of the Advisers Act and Rule 206(4)-2 thereunder, commonly referred to as the
'custody rule.'"
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Civil Penalty
Individual:
$150,000.00
Shared:
