Examinations Enforcement: SEC Actions

The CCO’s review of firm e-mails detected that the CEO had taken out a loan from another investment adviser and judged it a conflict of ...

For the second year in a row, SEC enforcement actions against investment advisers and investment companies have dropped, according to new data from the Commission. ...

Fees and expenses for private equity fund advisers. Visits to never-been-examined investment companies. Cybersecurity. These are among the new items contained within OCIE’s just-released 2015 ...

You can add another idea to the ever-growing heap of alternatives offered to address the SEC’s resource constraints limiting the number of investment adviser exams. ...

Compliance officers should take note of the FinCEN lawsuit filed last month against Thomas Haider, the former CCO at MoneyGram. The regulator seeks a court ...

An SEC ALJ has directed legal filings for next week after he revealed that the former CCO of Sands Brothers Asset Management ($64M in AUM) ...

This one had a little bit of everything—your standard diversion of investor money sprinkled with custody and principal transaction violations. The SEC recently charged VERO ...

This adviser is charged with engaging in principal transactions without obtaining client consent and violations of the custody rule.

Massachusetts-based F-Squared, which is the largest marketer of index products using exchange-traded funds (ETFs), began receiving signals from a third-party data provider in September 2008 ...