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
File Number 3-21051
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)

Related Documents:

IA-6114 09-Sep-2022 Administrative Proceeding
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
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.'"