Examinations Enforcement: SEC Actions

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



The CCO allegedly created fictitious letters and tax documents, hacked into her colleagues’ computers and rerouted their emails, and used voice altering software to impersonate ...