Examinations Enforcement: SEC Actions

Former adviser goes to jail for lying to the SEC. This case featured the filing of a false Form ADV.

The SEC obtains a judgment against a defendant and his expert consulting firm in an insider trading case.

Anxiety naturally would come to those advisers that have never been examined but yet realize they may soon be visited given OCIE's new initiative (IA ...

Some will even deceive the dying to make a buck. The SEC alleges Los Angeles-based broker Michael Horowitz sought out patients on their death beds ...

IA Watch has obtained four SEC document request letters from recent exams of investment advisers. Most are "presence" or limited scope exams that clearly reveal ...

It's not every day that an enforcement action against an investment adviser includes news that the CCO resigned over questionable actions by the firm's owner. ...

The announcement of the never-been-examined initiative isn't the only new development out of OCIE (IA Watch, Feb. 24, 2014). This month, examiners will begin using ...

This private equity adviser and its CEO were charged by the SEC for alleged violations, including with how expenses were handled.

If you're your firm's CCO, know that your letter could be in the mail. Last week OCIE released a three-page letter bound for senior executives ...

Given that the SEC has made no secret that it's interested in how private equity fund advisers allocate expenses (IA Watch, Sept. 24, 2012), you ...