Examinations Enforcement: Settlement

The adviser failed to maintain securities of certain private equity funds that it advised with a qualified custodian

CGMI willfully violated the recordkeeping requirements of Section 17(a) of the Exchange Act and Rule 17a-3 thereunder, which require broker-dealers to make and keep current ...

He failed to take necessary steps to do so despite being on notice of the rule’s requirements and was aware of the ongoing failures in ...

The reps made handwritten or typed changes on the clients’ standard investment advisory agreements that reflected the reduced fee rate. However, in certain instances, the ...

A lesson for compliance officers is that if your shop doesn't pay close enough attention to the rules, your firm could wind up with a ...

Fundrise clients were not fully informed of the content creators’ financial interests in promoting Fundrise’s investment advisory services and real estate investment platform and therefore ...

Titan violated the Marketing Rule by advertising hypothetical performance without having adopted and implemented policies and procedures reasonably designed to ensure that the hypothetical performance ...

He abused his position to help several groups controlled by suspected or known securities laws violators illegally sell their OTC stock at manipulated prices to ...

Commission staff uncovered Respondents’ misconduct after commencing a risk-based initiative to investigate the use of off-channel and unpreserved communications at broker-dealers

Messages sent through unapproved communications methods, such as WhatsApp and other unapproved applications on personal devices, were not monitored, subject to review or archived