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Examinations Enforcement: SEC Actions
Three top exam tips passed on by former co-head of SEC's Private Funds Unit
Defendants allegedly bilked more than $75 million from clients via complex investment structures and web of affiliate companies
The SEC simultaneously announced three enforcement actions against firms for violating the identity theft red flags rule
Savvy CCOs can use risk alerts as cheat sheet
The enforcement action led to SEC Commissioner Hester Peirce once again addressing the issue of CCO liability
The SEC claims the defendants failed to comply with both Reg BI's "Care Obligation" and "Compliance Obligation"
With or without proposed reforms, private funds are in a for a rough time over fees and expenses
Firm settles charges that it unlawfully purchased stock in seven public offerings after selling those same stocks short