Examinations Enforcement: Settlement

The errors in LPL’s EBS submissions were caused, in large part, by coding issues in LPL’s and/or its vendors’ EBS reporting systems

Wells Fargo self-identified and self-reported all but one of the errors that underly this Order, including five that were self-reported prior to any regulatory inquiry ...

You have to go back 10 years to when the SEC ordered certain private fund advisers to file Form PF. Apparently, seven SEC RIAs didn’t ...

Kyi caused SogoTrade’s failure to accurately document its CIP procedures

SogoTrade’s independent AML auditor identified recurring weaknesses in SogoTrade’s AML program, which it repeated in each of its annual reports

Catalyst was registered with the Commission as an investment adviser and managed private fund assets of at least $150 million as of the end of ...

The information collected on Form PF is important to financial regulators

NFC willfully violated Rule 204(b)-1 under the Advisers Act, which requires investment advisers registered or required to be registered under Section 203 of the Advisers ...

The statements in paragraphs 19 through 22 were materially misleading, given that Cantor personnel had already had substantive discussions on behalf of CFAC II with ...