Examinations Enforcement: SEC Actions

A sanitized copy of an SEC exam document request letter from February 2009.

Cast this act as almost Madoff-ian. The SEC has filed legal action against a hedge fund manager, claiming Grant Ivan Grieve went to enormous lengths ...

The first memo from the compliance department was sent up the chain of command in 2003. The next year, two new compliance officers for the ...

Disgraced former RIA Bernie Madoff last week sought to move past SEC civil charges as he prepares for the much bigger stakes within the criminal ...

You should expect the SEC to show its teeth following the embarrassment around the Madoff scandal. An early indication of this new attitude came from ...

Bernie Madoff and the SEC have agreed to a partial judgment stemming from the registered investment adviser's alleged multi-billion Ponzi scheme, according to the SEC.The ...

It's clear the SEC is trying to find ways to conduct its oversight role in a cheaper and more efficient manner. One sign is the ...

The man who spent nearly a decade tipping off the SEC to his belief that Bernie Madoff ran the world's largest Ponzi scheme surfaced last ...

Two new exam letters obtained by IA Week highlight regulators' new interests: firms' relations with broker-dealers, adviser's dealings with Bernie Madoff and their pursuit of ...

A listing of hot SEC exam topics from 2007 - 2008.