Examinations Enforcement: SEC Actions

It took Mortgage Industry Advisory Corp. 16 years, and a second SEC exam, to adequately address cited deficiencies first identified in 2006

SEC found Deutsche Bank subsidiary made materially misleading statements about its controls for incorporating ESG factors into research and investment recommendations

Guidance offers prep tips for before, during, and after a Commission examination

RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing

SEC opens exam sweep of exempt advisers amid liquidity concerns

Just when you thought it was safe to go back to the office

Mutual fund share class selection/best ex case has Peirce and Uyeda claiming the SEC is "creating novel regulatory interpretations through enforcement"

Firms paused fund raising for years over single trades

Cases raise 'red flags' for funds' due diligence

Regulators 'really pushing the boundaries' with fintech