SEC: Enforcement

Sometimes jumping on the bandwagon too quickly risks falling off

One strategy to defeat similar fraudsters is to send this correspondence to all clients

It can be tempting to use endorsements given that the SEC’s new IA advertising rule now permits them. But be sure to navigate carefully the ...

A substantial portion of the investment strategies that Invesco counted as ESG integrated could not consider ESG factors in making investment decisions because they were ...

"We consider a firm’s efforts to comply with its recordkeeping obligations and to prevent off-channel communications, focusing, for example, on timely adoption of meaningful technological ...

Wahed failed to include any disclosure in the advertisement on its website stating that the athlete was not a current client, that compensation was provided ...

JP Morgan IM failed to adopt and implement adequate policies and procedures to prevent unlawful principal trades by its investment professionals during the Relevant Period ...

These proceedings arise from misleading disclosures that JP Morgan Securities used with brokerage customers investing in its “Conduit” products, which pooled customer money and invested ...

The onset of the COVID-19 pandemic resulted in highly stressed market conditions for commercial paper, debt securities issued by banks, and asset-backed securities, particularly for ...

The firm's brochure made no disclosure regarding the incentive for financial advisors to put and keep client assets in PM Program strategies to help the ...