Examinations Enforcement: SEC Actions

Share class selection, fee markup practices, and best execution all cited in enforcement action

New WSPs and P&Ps concerning municipal trading, sales, and underwriting implemented by Hilltop Securities

Fresh enforcement as SEC weighs Reg D reforms

Rajaratnam is barred from association with any investment adviser

Under Asset Manager A’s policies and code of ethics, Wygovsky was required, among other things, to comply with fiduciary obligations to Asset Manager A’s advisory ...

The line around CCO liability often is drawn by whether a compliance officer participated in an alleged fraud. In a new civil lawsuit filed in ...

Paris made trades for his personal account and BAM Clients’ accounts using an “omnibus account.” He later distributed those trades to a selected client account ...

Firm also ran afoul of cash solicitation and documentation requirements, 'ineffective' compliance program cited

Case flags the critical importance of fund advisers being truthful and transparent about risk management

First Form 10 filing in nearly three years paints gloomy picture of embattled fund adviser.