Examinations Enforcement: SEC Actions

Former officials of pension giant CalPERS face fraud charges related to swindling an RIA out of $20 million in placement agent fees, a scam that ...

Compliance staff at Goldman Sachs did some good things but also erred in overseeing weekly "huddles" consisting of research analysts sharing their trading opinions with ...

Among the hundreds of cases and numerous complaints received by the SEC's Office of the Whistleblower include tips from investment advisers and even some compliance ...

What began as a friendship linked by meetings of Alcoholics Anonymous in Philadelphia would turn into one of betrayal that sparked a case of insider ...

Examiners have observed that some broker-dealers have not maintained, nor did they require the maintenance of, adequate written evidence that they complied with their obligations ...

While examiners may be singing from the same sheet of music thanks to the new exam manual (IA Watch, Feb. 6, 2012), the notes may ...

Signs of smoother cooperation between the Enforcement Division's Asset Management Unit and OCIE can be seen in the record number of hedge fund and investment ...

The SEC seems to be sending a lot of messages to the industry recently and the latest example involves a portfolio manager charged with failing ...

CCOs routinely deal with compliance issues quietly within the walls of their firm. Seldom do those actions years later fall under the glare of a ...

You can call it a trend. Recently, the SEC announced two more enforcement actions against advisory firm CCOs for misleading investors, even though none lost ...