SEC: Enforcement

'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

Gurbir Grewal, the SEC’s top enforcer, is bristling at suggestions that he and his colleagues are “regulating by enforcement” in either cryptocurrency or ESG disclosures. ...

"With respect to our Examinations Division, we expect registrants to produce materials and respond to requests promptly. An examination is not an enforcement action. Thus, ...

Now, for the first time, a criterion for the division granting cooperation credit is how a firm handles an SEC exam

He would give a client 'a completed check authorization form, but misrepresented how the authorization would be used.' Other times he 'altered the payee line ...

None of the ACH transfers from Welsh’s clients’ and customers’ accounts to the Welsh Family Accounts were authorized by the relevant account owners

"More troubling is the requirement that Credit Suisse’s Chief Compliance Officer submit a series of annual certifications attesting to Credit Suisse’s adherence to its plea ...