SEC Actions

UBS has taken a number of remedial steps, including reviewing and improving its retail order period policies and procedures, introducing retail order period training for ...

The SEC will consider proxy voting advice amendments and new guidance addressing investment advisers’ responsibilities at its July 22 open meeting, the Commission has announced. ...

Beginning in or about 2007,1 Hu and others at IIG engaged in a practice of hiding losses in the TOF portfolio by overvaluing troubled loans ...

The complaint also alleges that investors who were able to redeem their interests received more money than they were entitled to because their redemptions were ...

First Western did not require training for its IARs and supervisors about Rule 144A securities and did not adopt any other process to sufficiently educate ...

Lee claims estimated cost savings 'grossly overstated'

Given the idiosyncratic nature of the health and economic effects and consequences of COVID-19, we believe that analogies to the role of rating agencies in ...

George L. Taylor, is the CEO, founder, Chief Compliance Officer, and majority owner of Temenos Advisory, Inc. (“Temenos”), an investment adviser registered with the Commission

Rule targets business development companies and other closed-end investment companies

An investment adviser’s fiduciary duty includes, among other things, an obligation to seek best execution for client transactions