Examinations Enforcement: SEC Actions

Allegations of disposable cell phones used to relate secrets, a lawyer who divulged pending acquisitions, suspects deploying code words and a broker-dealer known as "the ...

Create a plan for responding rapidly to SEC document request letters and put thought into any claims of privilege before examiners arrive (IA Watch, 10/19/2009).These ...

The deficiency letter received by a firm in the mountain west listed mostly items related to custody, according to a CCO who filled us in ...

This could be the story of the year for compliance staff to clip and show their bosses. The SEC last week began a failure to ...

So what would it cost your firm each year should Congress grant the SEC the right to charge RIAs a user fee to cover the ...

The CCO had been through many regulatory exams over the years but nothing like this one. "They picked apart my fund business," says the CCO ...

The Department of Justice Friday announced criminal fraud charges against some prominent hedge fund managers, including Raj Rajaratnam, a portfolio manager with the Galleon Group, ...

It may seem as if SEC examiners are marching into firms with calculators strapped to their belts like a cowboy's gun hanging from a holster. ...

A lesson for the modern age: develop policies to review your firm's computer security and install antivirus software across the system.A single hacker entering one ...

A year after the market downturn and months after Madoff, the SEC is embarking on new reforms, fueled by new leadership, energy and focus, and ...