Enforcement

'We need to pay attention to the scope of the duties created by the agreements we sign'

'Historically, these have been the major areas that have been stressed during marketing cycles, and I think the SEC has noticed that'

'In the PE world... there are a lot more areas for people to take advantage,' top cop says

If questions remain about which regulator—the SEC or the CFTC—will take the lead on oversight of digital assets, a new report from the CFTC lays ...

Firm was victim of Hollywood scam, gets credit for prompt remediation

Penalties top $5 billion, Grewal seeks 'three e's'

"There are really three situations where the Commission typically brings enforcement actions against compliance personnel"

Nothing in this Advisory should be deemed to oblige the Division or the Commission to consider one or more factors, or to give certain factors ...

Federal, state and local officials, some foreign governments and financial institutions may have access to the Treasury Department’s beneficial ownership database, FinCEN says in newly ...

Firm required departing employees to affirm they hadn't spoken to regulators, SEC claims