SEC: Enforcement

"An investment adviser’s fiduciary duty also includes a duty of care. To fulfill this obligation, an adviser, among other things, must provide investment advice in ...

The scheme was to fraudulently bill clients for fees to which Yellowstone Partners was not entitled under the terms of the investment agreements

Global failed to have reasonable written policies and procedures in place to confirm that the LPA and PPM were consistent on key points, including in ...

Global Infrastructure Partners' fees may have been opaque even to the firm, SEC settlement suggests

Manager, adviser didn't disclose until after the SEC came calling, order says

Education, policies and technology can help prevent cyber threats.

'This case does not plow new legal ground,' Commission lawyers tell federal judge

'It offers prosecutors easy opportunities to show that they are doing something to hold Wall Street accountable'

As McKinsey consultants, Investments Committee members were routinely privy to MNPI relating to, for example, financial results, planned bankruptcy filings, mergers and acquisitions, product pipelines ...

Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows