SEC: Enforcement

While the adviser trained investment professionals on the ESG Integration Policy, some in senior portfolio management positions were not aware of the ESG Integration Policy ...

The firm's P&Ps called for its AML software to be calibration or tuned at least every one to three years. The system was only fully ...

Case illustrates that finance's borders may be shrinking, and private fund managers must be vigilant

The mismarking violations occurred as a result of a coding error in the logic used to compute Citadel Securities’s position calculated for Regulation SHO purposes ...

"By levying punishment on a registered representative for failing to red-flag a transaction and consequently failing to make an internal report, we are encouraging registered ...

"This enforcement action involves activity that we believe constitutes fan crowdfunding—a common phenomenon in the world of artists, creators, and entertainers .... The Commission’s application ...

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 ...

RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing

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 ...