Examinations Enforcement: SEC Actions

District judge approves SEC settlement with Sigma Capital.

Add a new perspective to the SEC's "presence exam" initiative thanks to evidence from a recent exam of a fund of funds adviser. IA Watch ...

These advisers were charged with poor compliance P&Ps for not requiring a review of portfolio manager valuations and that were not reasonably designed to ensure ...

The same month Lehman Brothers went belly up, staff at New Stream Capital were facing requests for nearly half a billion dollars in redemptions. The ...

SEC Charges Advisers to the RAHFCO Hedge Funds with Fraud.

It's the kind of betrayal worthy of a Shakespearian saga. An SEC ALJ has barred Andrew Franz from the industry following "egregious" actions that included ...

Not since OCIE Chief Carlo di Florio raised issues about private equity last year (IA Watch, May 14, 2012) have these advisers received a clearer ...

This is a cherry-picking case against a firm, which settled with the SEC.

Court orders hedge fund manager and firm to pay nearly $5 million in disgorgement and penalties.

You've heard the tale of Evergreen Investment Management Company before, along with compliance lessons from its fall (IA Watch, Jan. 30, 2012). The once mighty ...