The adviser and parent lost a trial for breach of contract claims brought against them concerning certain other ETFs that Adviser managed .... The trial ...
EXAMS encourages registrants to review and strengthen the policies, procedures, and internal controls of their AML programs to further their compliance with federal AML rules ...
The SEC proposes amendments to rules that exempt certain investment advisers that provide advisory services through the internet from the prohibition on Commission registration
Monroe Capital personnel became involved in multiple SPACs for which certain of Monroe Capital’s supervised persons co-owned the sponsoring entities, but Monroe Capital lacked policies ...
Fifth Third acted as sole underwriter for 79 offerings of municipal securities where it sought to rely on the exemption but didn't satisfy the exemption’s ...
The SEC proposes to amend the B-D customer protection rule to require certain broker-dealers to perform their customer and B-D reserve computations and make any ...
After several requests by the Commission’s Examination and then Enforcement staff, Cantor conducted a multiyear lookback review for accounts that should have been assigned a ...
Robert Allen Gravette failed to adequately disclose the compensation arrangements he negotiated with the fund managers of four private placement offerings he recommended to his ...
Within days of receiving the investor’s $1 million, Betanabhatla—in direct violation of the promises made to the investor and contrary to Fund IV’s stated investment ...
During the relevant period, however, BACNAH’s Fraud Investigations Group used a $25,000 threshold, instead of the proper $5,000 threshold, with respect to transactions or attempted ...