Enforcement

Swindler took in firm's COO, feds claim

'What I found to be very compelling about this letter are lies that Mr. Gad put in the letter'

David Chiueh wore multiple hats at Upright Financial Corp. ($68M in AUM) in East Hanover, N.J.—president, portfolio manager and chief compliance officer. A new SEC ...

Regulatory 'firsts' land uncomfortably close to private funds

Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows

Gurbir Grewal, the SEC’s top enforcer, is bristling at suggestions that he and his colleagues are “regulating by enforcement” in either cryptocurrency or ESG disclosures. ...

This and other actions by the CPO caused it not to “satisfy its duty of disclosure to participants and prospective participants,” which amount to fraud

"With respect to our Examinations Division, we expect registrants to produce materials and respond to requests promptly. An examination is not an enforcement action. Thus, ...

Now, for the first time, a criterion for the division granting cooperation credit is how a firm handles an SEC exam

He would give a client 'a completed check authorization form, but misrepresented how the authorization would be used.' Other times he 'altered the payee line ...