SEC: Enforcement

'That is the result that we ultimately want to see: it’s compliance,' Andrew Dean tells Private Funds CFO's compliance forum

"If new rules impact your operations or if recent enforcement actions highlight risk areas relevant to your business, it means evaluating whether you need to ...

The adviser failed to both adopt and implement P&Ps regarding investor communications that could have prevented the violations

The issues stemmed from failing to disclose conflicts in the firm's variable annuity and cash sweep money market fund selection practices, and making recommendations that ...

Key Investment Services and its reps did not disclose in writing that the reps were acting as associated persons when they made the transfer recommendations, ...

"This disproportionately large penalty for failure to report in a timely manner ... suggests to us that the Commission is more concerned with generating large ...

The Fund filed a lawsuit against Production Company A, the Joint Venture, and Film Studio A seeking repayment of the amounts outstanding on these loans, ...

He failed to disclose his financial interest in a group of private affiliated companies that had committed to investing $30 million in a company that ...

During the examination, Commission staff informed Ali about the Advisers Act custody rule’s requirements and its prohibition against commingling client money with the firm’s. However, ...

CCA benefited from this arrangement by deferring payment on its legal costs for multiple years