Defendant Name:
Janus Henderson Investors US LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
2022-156
Document Details
Legal Case Name
In the Matter of Janus Henderson Investors US LLC
Document Name
SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both
Document Date
09-Sep-2022
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Document Summary
The SEC "announced charges against a
number of investment advisers that failed to comply with requirements relating to safekeeping client assets and/or
to timely update their SEC disclosures to reflect the status of audits of financial statements for the private funds
they advised."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Civil Penalty
(Penalty was noted in document, but no amount was listed)