SEC: Enforcement

A federal judge lays out the legal foundation requiring advisers to disclose conflicts

'The dam is broken'

The letter focuses on e-communications and sheds more light onto authorities’ interest in firms’ use of new communications platforms

Regulators want funds to know there's nowhere to hide

'Compliance and marketing teams are in a challenging spot...'

'Just because a crypto trading platform claims to be a qualified custodian doesn’t mean that it is'

It “is unlikely that the firm principals will ever be repaid for these funds,” the government wrote

Cambria opened an account for a customer even though Cambria was aware of numerous red flags as identified in its WSPs as a result of ...

Respondents violated their duty to seek best execution on behalf of their clients by placing client transactions with HSC without evaluating whether HSC’s transaction fees ...

"There is no legal authority cited in the Commission Order for the finding that mutual fund share class selection implicates an investment adviser’s duty to ...